Securities & Exchange Commission (SEC)

Securities & Exchange Commission (SEC)

Martin R. Miller, Marc J. Lederer | Willkie Farr & Gallagher LLP

On December 4, 2013, the staff of the Securities and Exchange Commission (the “SEC”) Division of Corporation Finance published additional guidance (the “Guidance”) on certain key issues with respect to the new “bad actor” provisions recently added to Regulation...

Private Equity

Howard J. Beber, Michael Suppappola, Gregory Merz | Proskauer

On December 2, 2013, the SEC's Division of Investment Management issued a new "Guidance Update" that provides some important interpretive guidance on the exemption from registration under the Investment Advisers act of 1940 (the "Advisers Act") for certain venture capital...

Litigation

Stephen M. Sinaiko, Arielle Warshall Katz | Kramer Levin Naftalis & Frankel LLP

On March 5, 2014, the Supreme Court will hear oral argument in Halliburton Co. v. Erica P. John Fund, Inc., No. 13-317. This much-anticipated case will provide the Court with an opportunity to reexamine the “fraud on the market” doctrine – a central tool for...