Aug 1 1999 Publication SEC Proposes Prohibitions on "Pay to Play" for Investment Advisors Joanne Medero Corporations, Securities & Antitrust Practice Group Newsletter - Volume 3, Issue 2, Summer 1999 In August the Securities and Exchange Commission proposed a new Rule under the Investment Advisors...
Nov 23 2020 Topics Administrative Law & Regulation • Corporations, Securities & Antitrust Blog Post Can the SEC Regulate Proxy Advice as Proxy “Solicitation?” Joanne Medero Public companies decry what they see as the outsized influence of proxy advisory firms on...
Apr 25 2018 Podcast FedSoc Forums Courthouse Steps: Lucia v. SEC Gregory Dolin, Kevin B. Muhlendorf Administrative Law and Regulation and Litigation Practice Group Teleforum In Lucia v. SEC, the SEC fined the petitioner Raymond J. Lucia $300,000 and barred...
Mar 25 2019 Publication Federalist Society Review From Orange Groves to Cryptocurrency: How Will the SEC Apply Longstanding Tests to New Technologies? Troy Paredes, Scott Kimpel Federalist Society Review, Volume 20 Note from the Editor: The Federalist Society takes no positions on particular legal and public...
Aug 16 2016 Topics Administrative Law & Regulation • Criminal Law & Procedure Blog Post News 3rd Circuit Expands Definition of "Investment Advisor" Craig L. Hymowitz The defendant appealed claiming that he did not meet the statutory definition of an "investment...
SEC Proposes Prohibitions on "Pay to Play" for Investment Advisors
Joanne Medero
Corporations, Securities & Antitrust Practice Group Newsletter - Volume 3, Issue 2, Summer 1999
In August the Securities and Exchange Commission proposed a new Rule under the Investment Advisors...
Topics
Can the SEC Regulate Proxy Advice as Proxy “Solicitation?”
Public companies decry what they see as the outsized influence of proxy advisory firms on...
Courthouse Steps: Lucia v. SEC
Gregory Dolin, Kevin B. Muhlendorf
Administrative Law and Regulation and Litigation Practice Group Teleforum
In Lucia v. SEC, the SEC fined the petitioner Raymond J. Lucia $300,000 and barred...
From Orange Groves to Cryptocurrency: How Will the SEC Apply Longstanding Tests to New Technologies?
Troy Paredes, Scott Kimpel
Federalist Society Review, Volume 20
Note from the Editor: The Federalist Society takes no positions on particular legal and public...
Topics
3rd Circuit Expands Definition of "Investment Advisor"
The defendant appealed claiming that he did not meet the statutory definition of an "investment...