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The U.S. Securities and Exchange Commission (the “SEC”) is currently reviewing public comments on proposed amendments to Rule 206(4)-2 (the “Custody Rule”) under the Investment Advisers Act of 1940 (the “Advisers Act”).

The U.S. Supreme Court recently ruled unanimously in DaimlerChrysler Corp. v. Cuno and Wilkins v. Cuno that the Cuno plaintiffs, who challenged Ohio’s investment tax credit (ITC) on Commerce Clause discrimination grounds, lacked standing to bring their suit in the federal courts. 547 U.S. (May 15, 2006). As a result, the Supreme Court vacated the portion of the Sixth Circuit Court of Appeals’ decision in Cuno that invalidated the ITC, and it remanded the cases for dismissal.

Ankura monitors wealth and asset management M&A activity, tracks emerging themes in joint ventures and shareholder alignment, and examines how AI implementation challenges are reshaping enterprise operations and supply chain strategies. The analysis spans private equity market dynamics, regulatory compliance complexities, and the hidden costs of AI validation in investigative work.

On September 17, 2020, SEC Commissioner Hester Peirce gave a speech that focused on potential issues raised by investment advisers that—while purporting to follow environmental...

Much attention has been focused on the Financial Stability Oversight Council ("FSOC") as it moves to issue final rules concerning the process by which it will designate nonbank financial companies as systemically impor-tant financial institutions ("SIFIs") that will be subject to supervision by the Board of Governors of the Federal Reserve System ("FRB").

The Securities and Exchange Commission ("SEC") recently adopted new Rule 313 under Regulation S-T, under which open-end management investment companies and insurance company separate accounts that register on Forms N-1A, N-3, N-4 and N-6 ("Registrants") are required to (i) obtain identifiers for their series, classes and contracts; (ii) electronically identify for which series and classes (or contracts) of the Registrant a particular filing is made; and (iii) keep such information current.

SEC Adopts Shareholder Report and Quarterly Fund Holdings Disclosure Requirements and Proposes Additional Fund Advisory Agreement Approval Disclosure and a Prohibition on the Use of Fund Brokerage Commissions to Finance Distribution.

On July 20, 2004, the U.S. Securities and Exchange Commission (the "SEC") proposed new and amended rules and forms (the "Proposal") that would require advisers to certain private investment pools ("hedge funds") to register with the SEC under the Investment Advisers Act of 1940 (the "Advisers Act").

The SEC released on June 22, 2011 its final Rule 202(a)(11)(G)-1 exempting "family offices" from registration under the Investment Advisers Act of 1940.

The US Treasury recently proposed changes to Circular 230, which incorporates regulations that govern practice before the IRS.

If private equity investors (“PE Investors”) feel like they have whiplash from the recent actions of the FDIC, there are good reasons for it.

If you, as an ERISA fiduciary, are "floundering" in uncertainty in the aftermath of the mutual fund scandals, you are in good company.

On October 12, 2010, the Securities and Exchange Commission ("SEC") released for comment a new proposed Rule 202(a)(11)(G)-1 (the "Proposed Rule").

Last month, the Federal Deposit Insurance Corporation (FDIC) Board of Directors (FDIC Board) proposed an amendment to its regulations under the Change in Bank Control Act of 1978 (CBCA).

Discover proven strategies for winning over investors without relying on typical tech metrics, learn how to structure venture debt to extend your runway without dilution, and join an interactive pitch showcase featuring innovative Pre-Seed and Seed startups across AI and B2B/B2C software.

On September 1, 2005 United States District Judge George B. Daniels, of the Southern District of New York, dismissed the Securities and Exchange Commission’s civil action for claimed violations of Regulation FD (Full Disclosure) ("Reg FD") against Siebel Systems, Inc., its Chief Financial Officer ("CFO") and a Senior Vice President ("SVP").