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The SEC recently announced a settled enforcement action against a hedge fund manager (who was also a registered adviser) alleging that the manager fraudulently took securities for itself that its hedge funds had purchased.

An easily overlooked provision in the soon-to-be signed Dodd-Frank Wall Street Reform and Consumer Protection Act (―Dodd-Frank Act‖) creates a new whistleblower program that authorizes substantial cash rewards to whistleblowers who voluntarily provide the Securities and Exchange Commission (―SEC‖) with information leading to the successful prosecution of securities laws violations.

This memorandum is limited in scope and provides a brief overview of the Protocol to assist corporate end-users in deciding whether to adhere to the Protocol.

Signed into law by President Obama in July 2010, the Dodd-Frank Wall Street Reform and Consumer Protection Act mandated, among many other things, that the Federal Energy Regulatory Commission and the Commodity Futures Trading Commission enter memoranda of understanding concerning certain jurisdictional and information sharing matters.

Much has been written lately about the risks posed by some adjustable rate subprime mortgages. Attention has focused on loans underwritten in reliance on favorable short-term assumptions and, in some cases, without income verification, which may leave borrowers exposed to payment shock. Concerns have also been raised about prepayment penalties, inadequate disclosure of mortgage terms, and the negative implications of repeated refinancings.

On March 10, 2009, the US Environmental Protection Agency (“EPA”) released its long-awaited draft rule entitled “Mandatory Reporting of Greenhouse Gases” (the “Draft Rule”).

On January 11, 2011, the Institutional Limited Partners Association ("ILPA"), a not-for-profit private equity industry association, released a revised version of its Private Equity Principles (the "ILPA Principles").

Finally, more than a year after promising new guidance on various aspects of the Foreign Corrupt Practices Act, yesterday the DOJ and SEC jointly issued their much-anticipated 120-page "resource guide" to the FCPA.

The Securities and Exchange Commission ("SEC") adopted new rules and rule amendments under the Investment Advisers Act of 1940 (the "Advisers Act") to implement certain provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act") in a series of three releases issued on June 22, 2011 (the "Final Rules"),

This client memorandum from August 2026 provides general information on a legal matter. The communication clarifies that it should not be relied upon as legal advice and may constitute attorney advertising in certain jurisdictions.

A federal district court judge in the Western District of Washington recently dismissed an antitrust class action suit alleging that two private equity funds had unlawfully conspired in their bid to acquire WatchGuard Technologies (“WatchGuard”), a publicly traded company. Pennsylvania Avenue Funds v. Borey, No. C06-1737RAJ (W.D. Wash. Feb. 21, 2008).

The FTC has announced new reporting notification thresholds under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended ("HSR Act" or the "Act"), which will be effective 30 days after the revised thresholds are published in the Federal Register

On February 19, in a highly-anticipated decision, the Supreme Court awarded the Federal Trade Commission a major victory in its case challenging a now-consummated hospital merger in Georgia.

On October 23, 2013, the U.S. Securities and Exchange Commission (SEC) proposed rules under the Jumpstart Our Business Startups (JOBS) Act1 to permit companies to offer and sell securities through "crowdfunding."

Today, the Supreme Court asked the Solicitor General to submit a brief expressing the views of the United States on a key definitional issue under the public disclosure bar in "Graham County Soil & Water Conservation District v. United States ex rel. Wilson", No. 08-304 ("Graham County II").

In a decision last week, the Sixth Circuit announced a much-needed common sense approach to the application of the civil False Claims Act ("FCA") in a complex regulatory environment.

It seems that Congress cannot let any opportunity to amend the False Claims Act go to waste, and this month's legislative frenzy brings with it yet another amendment to the FCA, the third amendment in a little over a year.

In the case of Florida Dept. of Revenue v. Piccadilly Cafeterias, Inc., the United States Supreme Court ruled that the exemption from the payment of stamp taxes or similar taxes on transfers of property of a Chapter 11 debtor's estate, contained in section 1146(a) of the Bankruptcy Code, does not apply to transfers of property made before a Chapter 11 plan is confirmed.