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Katten Muchin Rosenman LLP
n a follow-up to our summary of the SEC's new private fund adviser rule, Katten attorneys share their views on implementation questions related to a variety of new requirements applicable to advisers to private funds.
Katten Muchin Rosenman LLP
In June of 2023, Northbrook, Illinois-based Pinstripes Inc., which at the time had 13 locations in eight states and Washington, DC, announced plans to go public with a large-scale expansion of its experiential dining and entertainment brand combining bistro, bowling, bocce and private event space.
Goodwin Procter LLP
On May 13, 2024, the Financial Crimes Enforcement Network (FinCEN), a bureau within the U.S. Treasury Department, and the Securities and Exchange Commission (SEC) proposed a joint rule (the Proposed Rule) with respect to a customer identification program.
Jenner & Block
In a sequel to FinCEN's proposal earlier this year to extend anti-money laundering and Bank Secrecy Act regulations to investment advisers (AML/BSA Proposal), on May 13, 2024, FinCEN and the SEC jointly issued a new Notice of Proposed Rule Making.
Foley & Lardner
Brian Lucareli, director of Foley Private Client Services (PCS) and co-chair of Foley's Family Offices group, sits down with Bryan House, partner and member of our Securities Enforcement & Litigation...
Carter Ledyard & Milburn
On Jan. 24, 2024, the Securities and Exchange Commission (the "SEC") adopted final rules to enhance disclosures and provide additional investor protections in initial public offerings (IPOs) for special...
Greenberg Traurig, LLP
On May 8, 2024, Colorado's legislature enacted "An Act Concerning Consumer Protections in Interactions with Artificial Intelligence Systems", a state law that comprehensively regulates the use of certain "Artificial Intelligence" systems.
Katten Muchin Rosenman LLP
On May 13, the Securities and Exchange Commission (SEC) and the US Department of the Treasury's Financial Crimes Enforcement Network (FinCEN) jointly proposed...
Mintz
On January 24, 2024, the US Securities and Exchange Commission (SEC) adopted final rules relating to special purpose acquisition companies (SPACs) and other shell companies.
K&L Gates
On 16 May 2024, the US Securities and Exchange Commission (SEC) adopted amendments to Regulation S-P's safeguards and disposal rules.
Akin Gump Strauss Hauer & Feld LLP
The SEC and FinCEN concurrently issued a fact sheet that summarizes the Joint NPRM.
K&L Gates
On 13 May 2024, the Securities and Exchange Commission (SEC) and the Department of the US Treasury Department's Financial Crimes Enforcement Network (FinCEN) jointly proposed rulemaking...
Michael Best & Friedrich
If you've ever wondered whether the SEC's Division of Enforcement is active, here is a recap of 4 kinds of enforcement actions the SEC has been bringing recently.
Davis Graham & Stubbs
On February 8, the Securities Exchange Commission (the "SEC" or the "Commission") and the Commodities Futures Trading Commission (the "CFTC") jointly adopted amendments...
Mayer Brown
The U.S. Securities and Exchange Commission has been attentive to "AI-washing," wherein public companies or other regulated entities make misleading or false claims ...
Mintz
On May 13, 2024, a group of 21 Democratic Congressmen--4 Senators and 16 Representatives, as well as the D.C. Delegate--submitted a letter to SEC Chairman Gensler, ...
Mintz
On May 10, 2024, the Fifth Circuit rejected an attempt by the States of Texas, Louisiana, West Virginia, and Utah to invalidate an SEC rule ...
Barnes & Thornburg
The SEC's new climate risk disclosure rules continue to get a lot of attention. Barnes & Thornburg's corporate and securities partner, Taylor Wirth, together with public company and environmental, social and governance advisory experts from BDO, ...
Shearman & Sterling LLP
On April 29, 2024, the United States Court of Appeals for the Sixth Circuit affirmed the dismissal with prejudice of a putative class action asserting claims under the Sections 11, 12(a)(2), and 15 of the Securities Act of 1933 ...
Shearman & Sterling LLP
On May 7, 2024, Judge Beth Labson Freeman of the United States District Court for the Northern District of California dismissed with prejudice a putative shareholders' class action against a pharmaceutical company and certain of its executives...
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