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The Securities and Exchange Commission (SEC) recently issued Release No. 34-66203, which seeks comments on the Financial Industry Regulatory Authority’s (FINRA) Partial Amendment No. 1 (the Amendment) to proposed FINRA Rule 5123 (the Rule), which was released in October 2011.

In its first individual prohibited transaction exemption published in 2006, the Labor Department conditionally authorized a broker-dealer to sweep uninvested IRA funds to a Free Credit Balance account, permitting the broker-dealer the use of those funds in its operations. PTE 2006-1, 53 Fed. Reg. 14005 (March 20, 2006) .

What do you do when Africa's richest man, Aliko Dangote, publicly says that he is not in favour of investing in a fintech start-up and would rather invest in agriculture?

More and more, when people discuss the automotive industry, they refer to "mobility". The word is not new. Even a quick online search will find it used as far back as 2016.

National security issues raised by investments in US-based companies by sovereign wealth funds controlled by China and other foreign governments

All investment advisers registered with the Securities and Exchange Commission ("SEC") are required to review their compliance policies and procedures at least annually.

In a case of first impression in the Tenth Circuit, the Court recently joined the chorus of circuit courts in holding that a 401(k)...

On July 15, the Obama administration announced proposed legislation entitled the “Private Fund Investment Advisers Registration Act of 2009” that would amend the Investment Advisers Act of 1940 (the “Advisers Act”) in a number of ways, with the effect of requiring all U.S.-based investment advisers with more than $30 million in assets under management to register with the SEC.

On Jan. 9, 2012 the Indiana Secretary of State issued an Administrative Order (12-0012AO) (the "Administrative Order") adopting a temporary exemption under the Indiana Uniform Securities Act (the "Indiana USA") from registration of certain Indiana-based private equity and venture capital fund advisers.

In the healthcare investment arena, the securing of credit facilities is complicated by the so-called "anti-assignment" provisions of the Social Security Act and its implementing regulations.

The Department of Labor has finalized revisions to the ERISA class exemption that permits parties-in-interest to participate in investment transactions with a plan managed by a "qualified professional asset manager" (QPAM).

During the past few weeks, a number of securities regulators have announced investigations of the trading practices of certain mutual fund providers.

At an open meeting on June 22, the SEC voted to adopt rules substantially as proposed earlier this year that:

"Sweat Equity" is when an investor brings something to a deal in lieu of hard cash. Traditionally, it refers to someone who invests time rather than money in exchange for an ownership stake in a business venture.

Recent statements by Internal Revenue Service (“IRS”) personnel have signaled that the IRS may take the position that U.S. persons are required to file Form TD F 90-22.1, Report of Foreign Bank and Financial Accounts, commonly known as the “FBAR,” with respect to hedge funds and perhaps other private investment funds organized outside the United States as a foreign partnership or foreign corporation.

On September 21, 2007, United States Treasury Secretary Henry Paulson and Canadian Finance Minister Jim Flaherty signed the much anticipated 5th protocol to the existing United States-Canada income tax treaty (the "Treaty").

The Financial Industry Regulatory Authority, Inc. ("FINRA") 2025 Annual Regulatory Oversight Report (the "2025 Report") includes a discussion on FINRA's concerns about recommendations of variable annuities...