Securities & Exchange Commission (SEC)
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Litigation
“Well, Now I’m Screwed. I Can’t Sell.” The Words That Will Take The SEC’s Insider Trading Case Against Mark Cuban To Trial
Recently, in S.E.C. v. Cuban, No. 08-CV-2050, 2013 WL 791405 (N.D. Tex. March 5, 2013), a federal district court denied Mark Cuban’s motion for summary judgment. The court held that although the question was “in some respects a close one,” there was sufficient dispute over the...
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Reminder: Annual Update Of Form ADV And Annual Requirement To Confirm Status Of Investors Under The New Issue Rules
Annual Update Of Form ADV The Securities and Exchange Commission (the “SEC”) requires SEC registered investment advisers and Exempt Reporting Advisers [1] to annually update the information on their Form ADVs. Form ADV is filed electronically on the Investment Adviser...
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Mexico: The New Investment Frontier
Editor: Please describe your practice area as well as geographic area in which you concentrate. Barajas: My area of focus from a practice perspective is project financing, project development and mergers & acquisitions. My work entails assisting developers in negotiating each part of an...
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