February 12, 2015

The Gift of Newman

New York Law Journal

April 6, 2014

SEC to Examine Registered Investment Advisers and Broker-Dealers for Cyber Security Procedures and Protections

Stamford, CT (client update)

January 30, 2014

SEC Issues Risk Alert on Alternative Investment Due Diligence

Stamford, CT (client update)

December 16, 2013

SEC Issues Guidance on Bad Actor Rules

Stamford, CT (client update)

November 12, 2013

SEC to Hold Roundtable on Proxy Voting

Stamford, CT (client update)

October 21, 2013

Red Flag Rules Compliance Deadline Approaches

Stamford, CT (client update)

October 9, 2013

Division of Investment Management Offers Guidance for Form 13F Confidential Treatment Requests

Stamford, CT (client update)

September 27, 2013

Preview of SEC Examination Priorities for 2014 for Investment Advisers and Investment Companies

Stamford, CT (client update)

September 19, 2013

Hedge Fund Adviser Sanctioned for Breaching Fiduciary Duty to Fund By Participating in Undisclosed Principal Transaction

Stamford, CT (client update)

September 3, 2013

SEC Issues Risk Alert on Business Continuity Planning for Investment Advisers

Stamford, CT (client update)

April 26, 2011

Hedge Fund Adviser Registration Deadline Extended

Stamford, CT (client update)

October 19, 2010

Whistleblower Bounties Under Dodd-Frank

Philadelphia, PA (client update)

September 20, 2010

SEC Casts Doubt on Issuers’ Ability to Pay Transaction-Based Compensation to Finders

Philadelphia, PA (client update)