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Article
Best Lawyers, ChatGPT, And The Future Of How Clients Find Securities Regulation Lawyers
Best Lawyers has launched a ChatGPT app that enables clients to find lawyers through conversational AI, signaling a fundamental shift in how legal services are discovered. As AI-driven search moves beyond traditional SEO to Answer Engine Optimization (AEO), law firms must adapt their digital presence to ensure they appear in AI-generated results. For securities regulation lawyers in Boston's specialized market, this development raises critical questions about visibility, credibility, and how structured lega
United States Media & IT
GU
Gesmer Updegrove LLP
Article
17 CFR Part 203 Explained: SEC Rules Relating To Investigations, Formal Orders, Witness Rights, Transcripts, And Subpoenas
The SEC's rules relating to investigations govern critical aspects of enforcement proceedings, including subpoena authority, witness testimony, transcript procedures, and non-public formal investigations. Understanding these procedural rules becomes essential when companies, executives, investment advisers, broker-dealers, or individuals face SEC document requests, testimony demands, or formal investigative proceedings that can lead to enforcement actions, penalties, or professional bars.
United States Commercial
GU
Gesmer Updegrove LLP
Article
17 CFR Part 202 Explained: SEC Informal Procedures, Interpretive Advice, Enforcement Activities, Cooperation, Criminal Referrals, And PCAOB Review
17 CFR Part 202 governs the SEC's informal procedures, including pre-filing assistance, interpretive advice, enforcement activities, cooperation policies, and criminal referrals. Understanding these procedural mechanisms can determine whether a regulatory matter remains informal or escalates to formal enforcement, affecting how companies, funds, advisers, and individuals interact with SEC staff before contested proceedings begin.
United States Commercial
GU
Gesmer Updegrove LLP
Article
17 CFR Part 200 Explained: SEC Organization, Authority, Divisions, And Enforcement
Understanding the SEC's organizational structure is critical for navigating financial regulatory matters. This guide examines 17 CFR Part 200, which defines the Commission's statutory authority, division responsibilities, and internal architecture—knowledge that shapes strategy when responding to examinations, enforcement inquiries, and regulatory questions.
United States Commercial
GU
Gesmer Updegrove LLP
Article
Show Me The Fees: SEC Risk Alert Zeroes In On Economic Conflicts Of Interest
The SEC's Division of Examinations has identified significant compliance gaps in how investment advisers handle economic conflicts of interest, particularly around cash management programs and revenue-sharing arrangements. Recent examinations revealed advisers failing to adequately disclose compensation received from custodians, charging fees inconsistent with client agreements, and maintaining deficient compliance programs that don't address fee-related risks. These findings underscore the ongoing regulato
United States Finance
KM
Katten Muchin Rosenman LLP
Article
Family Office Insights: Section 13(f) Compliance
Family offices navigating securities regulation may find themselves exempt from investment adviser registration under the Advisers Act, yet still bound by institutional investment manager filing requirements under Section 13(f) of the Exchange Act. Understanding this regulatory distinction is crucial for developing comprehensive compliance strategies that address both exemption status and ongoing reporting obligations.
United States Finance
SP
Squire Patton Boggs LLP
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