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Category: Securities Regulation

Proposed Additional Amendments to Form PF

Posted by Jessica Forbes, Philip Heimowitz, and Mark Highman, Fried, Frank, Harris, Shriver & Jacobson LLP, on Saturday, September 10, 2022 Editor's Note: Jessica Forbes and Philip Heimowitz are partners and Mark Highman is special

California State Court Applies Discovery Stay in Securities Act Claim

Posted by Susan E. Engel, Matthew Rawlinson, and Peter Trombly, Latham & Watkins LLP, on Wednesday, August 31, 2022 Editor's Note: Susan E. Engel and Matthew Rawlinson are partners and Peter Trombly is an associate at

Statement by Chair Gensler on Proposed Joint Amendments to Form PF

Posted by Gary Gensler, U.S. Securities and Exchange Commission, on Thursday, August 11, 2022 Editor's Note: Gary Gensler is Chair of the U.S. Securities and Exchange Commission. This post is based on his recent public statement.

Statement by Commissioner Uyeda on Proposed Joint Amendments to Form PF

Posted by Mark T. Uyeda, U.S. Securities and Exchange Commission, on Thursday, August 11, 2022 Editor's Note: Mark T. Uyeda is a Commissioner at the U.S. Securities and Exchange Commission. This post is based on

The Most Curious Rule Proposal in Securities and Exchange Commission History

Posted by Joseph Grundfest (Stanford University), on Tuesday, May 17, 2022 Editor's Note: Joseph A. Grundfest is William A. Franke Professor of Law and Business at Stanford Law School. This post is based on his

Proposed SEC Rule on Private Fund Advisers

Posted by William W. Clayton (Brigham Young University), on Monday, May 16, 2022 Editor's Note: William W. Clayton is an Associate Professor at Brigham Young University Law School. This post summarizes his recent comment letter

The Proposed Private Fund Advisers Rule

Posted by Harvey L. Pitt, Kalorama Partners, LLC, on Thursday, April 21, 2022 Editor's Note: Harvey L. Pitt is Chief Executive Officer at Kalorama Partners LLC and its law firm affiliate Kalorama Legal Services PLLC,

Recent SEC Enforcement Developments

Posted by Haimavathi V. Marlier, Jina Choi, and Michael D. Birnbaum, Morrison & Foerster LLP, on Sunday, March 27, 2022 Editor's Note: Haimavathi V. Marlier, Jina Choi, and Michael D. Birnbaum are partners at Morrison

Four Takeaways from the SEC’s Proposed Cybersecurity Rules

Posted by Charu Chandrasekhar, Avi Gesser, and Julie Riewe, Debevoise & Plimpton LLP, on Monday, March 7, 2022 Editor's Note: Charu Chandrasekhar is counsel, and Avi Gesser and Julie Riewe are partners at Debevoise &

SEC Proposes Additional Private Fund Disclosures

Posted by Ellen Kaye Fleishhacker, Robert Holton, and Patrick Derocher, Arnold & Porter LLP, on Friday, March 4, 2022 Editor's Note: Ellen Kaye Fleishhacker and Robert Holton are partners and Patrick Derocher is an associate

Private or Public Equity? The Evolving Entrepreneurial Finance Landscape

Posted by Michael Ewens (Caltech) and Joan Farre-Mensa (University of Illinois at Chicago), on Thursday, March 3, 2022 Editor's Note: Michael Ewens is Professor of Finance and Entrepreneurship at the California Institute of Technology, and Joan

SEC Proposes Unprecedented Cybersecurity Rules

Posted by Adam Fee, Antonia M. Apps, and George S. Canellos, Milbank LLP, on Wednesday, March 2, 2022 Editor's Note: Adam Fee, Antonia M. Apps, and George S. Canellos are partners at Milbank LLP. This

SEC Proposed Amendments to Private Fund Manager Reporting

Posted by Norm Champ, Kirkland & Ellis LLP, on Sunday, February 27, 2022 Editor's Note: Norm Champ is partner at Kirkland & Ellis LLP. This post is based on a Kirkland & Ellis memorandum by

SEC Proposes Substantial Increases to Form PF Reporting

Posted by Marc E. Elovitz, Schulte, Roth & Zabel LLP, on Friday, February 25, 2022 Editor's Note: Marc E. Elovitz is partner at Schulte, Roth & Zabel LLP. This post is based on his SRZ

SEC Identifies Private Fund Deficiencies, Signifying Increased Industry Scrutiny

Posted by Marc E. Elovitz, Kelly Koscuiszka, and Tarik M. Shah, Schulte Roth & Zabel LLP, on Thursday, February 17, 2022 Editor's Note: Marc E. Elovitz and Kelly Koscuiszka are partners and Tarik M. Shah

Statement by Chair Gensler on Private Fund Advisers Proposal

Posted by Gary Gensler, U.S. Securities and Exchange Commission, on Thursday, February 10, 2022 Editor's Note: Gary Gensler is Chair of the U.S. Securities and Exchange Commission. This post is based on his recent public

Statement by Commissioner Peirce on Private Fund Advisers Proposal

Posted by Hester M. Peirce, U.S. Securities and Exchange Commission, on Thursday, February 10, 2022 Editor's Note: Hester M. Peirce is a Commissioner at the U.S. Securities and Exchange Commission. This post is based on

M&A/PE Quarterly

Posted by Gail Weinstein, Steven Epstein, and Philip Richter, Fried, Frank, Harris, Shriver & Jacobson LLP, on Sunday, January 16, 2022 Editor's Note: Gail Weinstein is senior counsel, and Steven Epstein and Philip Richter are partners at

High-End Bargaining Problems

Posted by William Clayton (Brigham Young University), on Wednesday, December 22, 2021 Editor's Note: William W. Clayton is Associate Professor of Law at Brigham Young University Law School. This post is based on his recent

Remarks by Chair Gensler At the Institutional Limited Partners Association Summit

Posted by Gary Gensler, U.S. Securities and Exchange Commission, on Thursday, November 11, 2021 Editor's Note: Gary Gensler is Chair of the U.S. Securities and Exchange Commission. This post is based on his recent remarks

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