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On March 3, 2025, the Staff of the SEC Division of Corporate Finance announced an expansion of the accommodations that allow issuers to confidentially submit draft registration statements (DRSs) for nonpublic review.

Last week, the Securities and Exchange Commission (SEC) announced settlements with 13 SEC registered investment advisers that had failed to file Form PF over multiple year periods.

In June 2020, the Securities and Exchange Commission settled charges with insurance company Argo Group International Holdings, Ltd. for failing to disclose perks and benefits received by its...

The SEC recently amended its disclosure requirements for historical and pro forma financial statements arising from acquisitions and dispositions.[1] While the revisions are fairly technical...

The two most common exemptions from registration under the Investment Company Act of 1940 (the "Act") utilized by private funds are under Section 3(c)(7) and Section 3(c)(1).

2020 was an especially eventful year for the SEC Division of Enforcement. In a recent issue of The Investment Lawyer, partners Lisa Wood and John Murray and associates...

The Boston Globe reported yesterday that the Massachusetts Pension Reserves Investment Management Board approved investment guidelines that would have the Board vote against directors of companies...

On August 17, the SEC adopted amendments to its rules and regulations to simplify public company disclosures by eliminating duplicative, outdated or overlapping requirements.

Just hours after our recent blog post regarding the need to use the traditional process for CTR extensions, the SEC announced the adoption of a new streamlined process for CTR extensions.

Special purpose acquisition companies (SPACs) have been gaining traction as one of the most popular exit strategies over the last year

On Tuesday, October 8, 2019, the Department of Justice provided guidance on how its prosecutors should evaluate claims of corporate poverty.

Federal prosecutors continued to quickly respond to PPP loan fraud, bringing two additional cases that allege clear misuse of the funds intended for small businesses.

Earlier today, the Supreme Court threw out federal program and wire fraud convictions for two former public officials who conspired to induce traffic jams in Fort Lee, New Jersey as political retaliation in 2013.

The United States declined to intervene, and the complaint was dismissed as untimely.

On Wednesday, President Donald Trump signed two executive orders (titled Promoting the Rule of Law Through Transparency and Fairness in Civil Administrative Enforcement and Adjudication

Federal and state prosecutors recently convened at the Boston Bar Association's White Collar Crime Conference to discuss, among other topics, health care enforcement priorities.

On Monday, May 18, 2015, the Office of the Attorney General announced a "safe harbor" for some employers under the Massachusetts Earned Sick Time Law.

On Wednesday, June 10, 2015, the Office of the Attorney General issued additional guidance clarifying the "safe harbor" to the Massachusetts Earned Sick Time ("EST") law it announced on May 18, 2015.