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Before closing the books on 2019, registered investment advisers and funds should take a look back at the activity undertaken by the SEC.

For several years, a task force within the Business Law Section of the American Bar Association has tried to get the attention of federal and state regulators to address an issue that comes up from time to time in private placements and even in an occasional public offering.

In this episode of the Above Board podcast, Morrison & Foerster partner Dave Lynn speaks with Jina Choi, San Francisco partner and former director of the SEC's San Francisco Regional Office...

In this episode of the Above Board podcast, Morrison & Foerster partner and host Dave Lynn speaks with Arden Phillips, Vice President, General Counsel and Chief Compliance Officer of Tahzoo...

In this episode of Above Board, Morrison & Foerster partner Dave Lynn speaks with James Koukios and Chuck Duross, heads of the firm's FCPA and Global Anti-corruption practice...

The SEC's Division of Economic and Risk Analysis (DERA) recently produced a Report to Congress regarding the impacts of the Dodd-Frank Act on access to capital for consumers...

A number of U.S. states have created new corporate forms that let companies focus on sustainability and other social goals, as well as shareholder value.

The SEC’s Investor Advisory Committee recommended that the definition of "accredited investor" in Rule 501(a) under the Securities Act undergo some significant changes.

M&A and corporate lending markets faced an interesting year in 2022, with the first half of the year continuing where 2021 left off and the second half retreating to lower levels...

Yesterday, the Staff of the Division of Corporation Finance provided additional guidance on Rule 701 by issuing this new Compliance and Disclosure Interpretation...

Recommendations for the SEC to adopt rules to increase tick sizes for smaller exchange-listed companies and permit issuers to choose their own tick sizes within certain SEC-specified ranges.

The agenda for the July 19 meeting of the SEC Advisory Committee on Small and Emerging Companies was recently announced.

On Thursday, March 10, Friday, March 11, and Saturday, March 12, 2016, Morrison & Foerster Partner Marty Dunn will speak at the American Law Institute's "Regulation D Offerings and Private Placements...

Ed Imperatore spoke to The Messenger about the Justice Department and Securities and Exchange Commission (SEC) moving against executives who have allegedly abused a program...

The Division of Trading & Markets has issued no-action letter guidance to AngelList in which the Staff indicated that it would not recommend enforcement action for failure to register as a broker-dealer if AngelList and its affiliates were to establish an internet-based platform to facilitate angel investing by accredited investors.

Since ATMs were first undertaken in the mid-1990s, there has been tremendous growth in adoption of this financing alternative.

The SEC explained that it was adopting the bad actor rule in substantially the form in which it was proposed in May 2011 with certain modifications.

Haima Marlier was a guest on the Marketplace Morning Report podcast, discussing Gary Gensler's expected appointment to head the Securities and Exchange Commission (SEC)...