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Articles by Arthur Don
SEC Proposes Amendments to Expand Retail Access to Private Markets
Stock market or forex trading graph and candlestick chart suitable for financial investment concept. Economy trends background for business idea and all art work design On Sept. 30, 2026, the U.S. Securities and Exchange Commission voted to propose two sets of amendments to rules under the Investment Advisers Act of 1940 (the Advisers Act) and the Investment Company Act of 1940 (the 1940 Act).
SEC Division Of Examinations Publishes Risk Alert On Annual Compliance Reviews
GT Greenberg Traurig, LLP More Greenberg Traurig, LLP has more than 3,200 lawyers across 51 locations in the United States, Europe, the Middle East, Latin America, and Asia. The firm’s broad geographic and practice range enables the delivery of innovative and strategic legal services across borders and industries.
SEC Division of Examinations Publishes Risk Alert on Annual Compliance Reviews
On September 14, 2026, the U.S. Securities and Exchange Commission (the “SEC”)’s Division of Examinations (the “Division”) issued a Risk Alert detailing its observations of registered investment advisers (each an “Adviser” and collectively “Advisers”) related to issues regarding annual compliance reviews. The Division based its Risk Alert on examinations of Advisers’ annual compliance reviews and issued it to assist Advisers in conducting such reviews and implementing any resulting findings.
SEC Division Of Examinations Publishes Risk Alert On Economic Conflicts Of Interest
GT Greenberg Traurig, LLP More Greenberg Traurig, LLP has more than 3,100 lawyers across 51 locations in the United States, Europe, the Middle East, Latin America, and Asia. The firm’s broad geographic and practice range enables the delivery of innovative and strategic legal services across borders and industries.
SEC Division of Examinations Publishes Risk Alert on Economic Conflicts of Interest
On June 9, 2026, the U.S. Securities and Exchange Commission (the “SEC”)’s Division of Examinations (the “Division”) issued a Risk Alert detailing its observations of investment advisers (each an “Adviser” and collectively “Advisers”) related to economic conflicts of interest.
SEC Raises Threshold For ‘Qualified Client’ Status, Effective June 29, 2026
GT Greenberg Traurig, LLP More Greenberg Traurig, LLP has more than 3,100 lawyers across 51 locations in the United States, Europe, the Middle East, Latin America, and Asia. The firm’s broad geographic and practice range enables the delivery of innovative and strategic legal services across borders and industries.
SEC Raises Threshold for ‘Qualified Client’ Status, Effective June 29, 2026
On April 28, 2026, the U.S. Securities and Exchange Commission (“SEC”) issued an Order increasing the thresholds for a client or private fund investor to be deemed a “qualified client” under Rule 205-3 under the Advisers Act.
SEC Division Of Examinations 2026 Priorities
GT Greenberg Traurig, LLP More Greenberg Traurig, LLP has more than 3000 attorneys across 51 locations in the United States, Europe, the Middle East, Latin America, and Asia. The firm’s broad geographic and practice range enables the delivery of innovative and strategic legal services across borders and industries.
SEC Division Announces 2026 Examination Priorities
Legal Disclaimer You are responsible for reading, understanding, and agreeing to the National Law Review's (NLR’s) and the National Law Forum LLC's Terms of Use and Privacy Policy before using the National Law Review website. The National Law Review is a free-to-use, no-log-in database of legal and business articles. The content and links on www.NatLawReview.com are intended for general information purposes only.
SEC Division Of Examinations 2025 Priorities
GT Greenberg Traurig, LLP More Greenberg Traurig, LLP has more than 2750 attorneys in 48 locations in the United States, Europe and the Middle East, Latin America, and Asia. The firm is a 2022 BTI “Highly Recommended Law Firm” for superior client service and is consistently among the top firms on the Am Law Global 100 and NLJ 500. Greenberg Traurig is Mansfield Rule Certified Plus by The Diversity Lab.
SEC Division of Examinations 2025 Priorities
Skip to main content October 28, 2024 Volume XIV, Number 302 Legal Analysis. Expertly Written. Quickly Found. Trending News SEC Division of Examinations 2025 Priorities Print Mail Download />i Facebook Twitter Linkedin Pinterest Reddit Facebook Messenger Email Digg Print X Buffer Flipboard The Securities and Exchange Commission’s Division of Examinations (Division) announced its 2025 examination priorities (Exam Priorities) Oct. 21, 2024.
SEC Division of Examinations 2025 Priorities
The Securities and Exchange Commission’s Division of Examinations (Division) announced its 2025 examination priorities (Exam Priorities) Oct. 21, 2024. These priorities address areas of concern based on recent examinations, and often forecast referrals to the Division if material rule violations or deficiencies are uncovered. The Exam Priorities focus on six different types of market participants subject to SEC regulation or oversight, as well as four risk areas impacting many market participants.
No Need For Seeking Alpha To Seek Registration
Go-To Guide: A federal court ruled that Seeking Alpha, Inc. is protected by the publishers' exclusion to the definition of "investment adviser" in the Investment Advisers Act of 1940. The court declined a narrow reading of the publishers' exclusion, citing Lowe v. SEC. Publications that are "bona fide" for purposes of the publishers' exclusion should not be personal communications, contain false or misleading information, or be designed to tout any security in which the publisher has an interest.
2024 Update: Best-Practice Compliance Policies For Real Estate Fund Managers (Part One Of Two)
This is Part One of a two-part 12-year anniversary update of a predecessor article on the same topic by the authors, which was published in the Fall 2012 issue of the PREA Quarterly. This article focuses on the investment adviser compliance policies to be considered by all managers of real estate funds, whether registered under the Investment Advisers Act of 1940, as amended, or not.
No Need for Seeking Alpha to Seek Registration
Go-To Guide: A federal court ruled that Seeking Alpha, Inc. is protected by the publishers’ exclusion to the definition of “investment adviser” in the Investment Advisers Act of 1940. The court declined a narrow reading of the publishers’ exclusion, citing Lowe v. SEC. Publications that are “bona fide” for purposes of the publishers’ exclusion should not be personal communications, contain false or misleading information, or be designed to tout any security in which the publisher has an interest.
SEC Adopts Cybersecurity Amendments To Regulation S-P
On May 16, 2024, the U.S. Securities and Exchange Commission finalized amendments to Regulation S-P1 (the Amendments) that largely adopt the proposed amendments the SEC issued in 2023.
SEC Adopts Cybersecurity Amendments to Regulation S-P
On May 16, 2024, the U.S. Securities and Exchange Commission finalized amendments to Regulation S-P[1] (the Amendments) that largely adopt the proposed amendments the SEC issued in 2023.
SEC Adopts Comprehensive Package of Climate-Related Disclosure Rules; Scope 3 Emission Metrics Excluded
Go-To Guide: SEC adopts comprehensive climate-related disclosure rules for public companies in their registration statements and periodic reports. Compliance dates phased in by registrant status, beginning as early as fiscal year 2025. Greenhouse gas (GHG) emission disclosure scaled back and limited to Scope 1 and Scope 2 for large accelerated filers and accelerated filers, subject only to materiality determinations.
SEC Adopts Comprehensive Package of Climate-Related Disclosure Rules; Scope 3 Emission Metrics Excluded
Go-To Guide: SEC adopts comprehensive climate-related disclosure rules for public companies in their registration statements and periodic reports. Compliance dates phased in by registrant status, beginning as early as fiscal year 2025. Greenhouse gas (GHG) emission disclosure scaled back and limited to Scope 1 and Scope 2 for large accelerated filers and accelerated filers, subject only to materiality determinations.
SEC Adopts Comprehensive Package of Climate-Related Disclosure Rules; Scope 3 Emission Metrics Excluded
Barbara A. Jones is Co-Managing Shareholder of the firm’s Los Angeles office and a member of the firm’s Global Corporate practice. Barbara serves as Chair of the firm’s interdisciplinary Blockchain & Digital Assets practice.
SEC Expands Dealer Registration Requirements
On Feb. 6, 2024, the U.S. Securities and Exchange Commission (SEC) adopted new Rules 3a5-44 and 3a44-2 (the final rules) under the Securities Exchange Act of 1934 (the Exchange Act), which require market participants engaging in certain dealer roles to register with the SEC, become members of a self-regulatory organization (SRO), and comply with federal securities laws and regulatory obligations.
SEC Expands Dealer Registration Requirements
On Feb. 6, 2024, the U.S. Securities and Exchange Commission (SEC) adopted new Rules 3a5-44 and 3a44-2 (the final rules) under the Securities Exchange Act of 1934 (the Exchange Act), which require market participants engaging in certain dealer roles to register with the SEC, become members of a self-regulatory organization (SRO), and comply with federal securities laws and regulatory obligations.
SEC Division Of Examinations 2024 Priorities
The Securities and Exchange Commission (SEC)'s Division of Examinations (Division) announced its 2024 examination priorities (Exam Priorities) in October. In 10 years of priority announcements, this is by far the earliest annual announcement; the 2023 priorities were issued in February 2023. These priorities particularly address areas of concerns based on recent examinations, and often forecast referrals to the Division if material rule violations or deficiencies are uncovered.
SEC Division of Examinations 2024 Priorities
Arthur Don is the Co-Chair of the Investment Management Group. He has more than 40 years of experience representing mutual funds, public investment companies, fund independent directors, investment advisers, private investment funds, private equity funds, real estate funds, broker-dealers and public companies in a variety of sophisticated securities transactions.
Securities and Exchange Commission 2024 Priorities
Skip to main content December 06, 2023 Volume XIII, Number 340 Legal Analysis. Expertly Written. Quickly Found. Trending News SEC Division of Examinations 2024 Priorities Print Mail Download i The Securities and Exchange Commission (SEC)’s Division of Examinations (Division) announced its 2024 examination priorities (Exam Priorities) in October. In 10 years of priority announcements, this is by far the earliest annual announcement; the 2023 priorities were issued in February 2023.
SEC Division of Examinations 2024 Priorities
The Securities and Exchange Commission (SEC)’s Division of Examinations (Division) announced its 2024 examination priorities (Exam Priorities) in October. In 10 years of priority announcements, this is by far the earliest annual announcement; the 2023 priorities were issued in February 2023. These priorities particularly address areas of concerns based on recent examinations, and often forecast referrals to the Division if material rule violations or deficiencies are uncovered.
SEC Employment and Separation Agreement Scrutiny Under Whistleblower Rule
In September 2023, the Securities and Exchange Commission (SEC) announced three separate enforcement orders reflecting a renewed interest in and scrutiny of provisions in employment agreements and separation agreements.
SEC Broadens Scrutiny of Employment and Separation Agreements Under Whistleblower Rule
During her career, Tracy has tried more than 50 arbitrations to final award. Tracy is skilled in defending employment claims that implicate unique reputational risk, such as claims brought by current employees, SOX and Dodd-Frank whistleblower claims, U5 defamation claims, gender discrimination and hostile work environment claims, and claims arising out of internal investigations, regulatory inquiries and product controversies.
SEC Broadens Scrutiny of Employment and Separation Agreements Under Whistleblower Rule
In September 2023, the Securities and Exchange Commission (SEC) announced three separate enforcement orders reflecting a renewed interest in and scrutiny of provisions in employment agreements and separation agreements.
SEC Risk Alert to Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents
Wednesday, September 13, 2023 On Sept. 6, 2023, the Securities and Exchange Commission’s Division of Examinations issued a Risk Alert detailing the Division’s examination selection process for SEC-registered investment advisers (Advisers). The Risk Alert highlights the Division’s risk-based approach for both (A) selecting Advisers to examine and (B) determining examination focus areas and documents.
SEC Risk Alert to Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents
Arthur Don is the Co-Chair of the Investment Management Group. He has more than 40 years of experience representing mutual funds, public investment companies, fund independent directors, investment advisers, private investment funds, private equity funds, real estate funds, broker-dealers and public companies in a variety of sophisticated securities transactions.
SEC Risk Alert to Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents
On Sept. 6, 2023, the Securities and Exchange Commission’s Division of Examinations issued a Risk Alert detailing the Division’s examination selection process for SEC-registered investment advisers (Advisers). The Risk Alert highlights the Division’s risk-based approach for both (A) selecting Advisers to examine and (B) determining examination focus areas and documents.
Florida Senate Passes Legislation Impacting ESG Initiatives of Financial Businesses Operating in Florida
Impacting environmental, social and corporate governance (ESG) initiatives of the financial industry in Florida, on April 19, 2023, the Florida Senate passed Florida House Bill 3 (HB 3 or the Bill) by a vote of 28 YEAS to 12 NAYS. The Florida House of Representatives passed HB 3 on March 24, 2023.1 The Bill now awaits the signature of Gov. DeSantis, who is expected to sign the Bill into law.
Arthur Don Greenberg Traurig Law Firm Chicago Corporate and Finance Lawyer
Legal Disclaimer You are responsible for reading, understanding and agreeing to the National Law Review's (NLR’s) and the National Law Forum LLC's Terms of Use and Privacy Policy before using the National Law Review website. The National Law Review is a free to use, no-log in database of legal and business articles. The content and links on www.NatLawReview.com are intended for general information purposes only.
SEC Announces 2023 Examination Priorities
Paul J. Ferak is Co-Chair of the Financial Services Litigation Practice. Paul focuses his practice on financial services litigation, business litigation, and class action defense. He has served as lead and co-lead counsel in matters across the country. He manages a national team Paul J. Ferak is Co-Chair of the Financial Services Litigation Practice. Paul focuses his practice on financial services litigation, business litigation, and class action defense.
SEC Announces 2023 Examination Priorities
On Feb. 7, 2023, the Securities and Exchange Commission (SEC)’s Division of Examinations (Division) announced its 2023 examination priorities (Exam Priorities).
2023 Report on FINRA’s Examination and Risk Monitoring Program
Douglas W. Hathaway is a corporate associate in Greenberg Traurig’s Chicago office, where he is a member of the firm’s Fund Formation and Investment Management Groups. He regularly counsels private equity and hedge fund sponsors in connection with the formation, structuring, capital raising… Douglas W. Hathaway is a corporate associate in Greenberg Traurig’s Chicago office, where he is a member of the firm’s Fund Formation and Investment Management Groups.
2023 Report on FINRA’s Examination and Risk Monitoring Program
On Jan. 10, 2023, the Financial Regulatory Authority (FINRA) released its 2023 Report on FINRA’s Examination and Risk Monitoring Program (“Report”) in which it identifies the year’s areas of examination focus for FINRA Member Firms (“Firms”). This is the third year for FINRA’s new reporting system, which replaced the prior format for examination focus, the Risk Monitoring and Examination Program Priorities Letter.
The Biden Administration Proposes Changes to the Taxation of Cryptocurrency Transactions
Legal Disclaimer You are responsible for reading, understanding and agreeing to the National Law Review's (NLR’s) and the National Law Forum LLC's Terms of Use and Privacy Policy before using the National Law Review website. The National Law Review is a free to use, no-log in database of legal and business articles. The content and links on www.NatLawReview.com are intended for general information purposes only.
William B. Mack is a co-chair of the Financial Regulatory and Compliance Practice. He is experienced in advising companies on regulatory and compliance matters relating to the Securities and Exchange Commission regulations, the Exchange Act, Anti-Money Laundering laws and Financial Industry Regulatory Authority (FINRA) rules.
Telecom Alert: Annual CPNI Certifications; Rip-and-Replace Applications; EAS Pleading Cycle; Emergency Connectivity Fund [Vol. XIX, Issue 7]
Legal Disclaimer You are responsible for reading, understanding and agreeing to the National Law Review's (NLR’s) and the National Law Forum LLC's Terms of Use and Privacy Policy before using the National Law Review website. The National Law Review is a free to use, no-log in database of legal and business articles. The content and links on www.NatLawReview.com are intended for general information purposes only.
SEC Issues Proposed Cyber Rule, Including 48-Hour Breach Reporting Requirement
Friday, February 11, 2022 This GT Alert covers the following: The SEC issued a proposed cybersecurity rule applicable to registered investment advisers and registered investment companies, but did not issue the rule to publicly traded companies. The rule requires notification to the Commission within 48 hours of discovering a significant cybersecurity incident.
SEC Issues Proposed Cyber Rule, Including 48-Hour Breach Reporting Requirement
Arthur Don is the Co-Chair of the Investment Management Group. He has more than 40 years of experience representing mutual funds, public investment companies, fund independent directors, investment advisers, private investment funds, private equity funds, real estate funds, broker-dealers and public companies in … Arthur Don is the Co-Chair of the Investment Management Group.
SEC Issues Risk Alert Regarding Registered Investment Companies
Arthur Don is the Co-Chair of the Investment Management Group. He has more than 40 years of experience representing mutual funds, public investment companies, fund independent directors, investment advisers, private investment funds, private equity funds, real estate funds, broker-dealers and public companies in … Arthur Don is the Co-Chair of the Investment Management Group.
SEC Observations from Examinations in Registered Investment Company Initiatives
November 02, 2021 Should Copyright Exceptions Apply to AI Mined Data? And Other... by: Sunny J. Kumar and Georgina Rigg Hydro Newsletter - Volume 8, Issue 11 by: Xena Burwell and Melinda M. Meade Meyers Updates to Saudi Arabia's Data Protection Law by: Christopher R. Williams and Ibrahim Siddiki DOJ Announces Major Changes to Corporate Criminal Enforcement Policies by: Brian F. Saulnier and Mark A.
2021 SEC Examination Priorities for Securities Industry Registrants
Arthur Don is the Co-Chair of the Investment Management Group. He has more than 40 years of experience representing mutual funds, public investment companies, fund independent directors, investment advisers, private investment funds, private equity funds, real estate funds, broker-dealers and public companies in … Arthur Don is the Co-Chair of the Investment Management Group.
2021 Report on FINRA’s Examination and Risk Monitoring Program
William B. Mack is a co-chair of the Financial Regulatory and Compliance Practice. He is experienced in advising companies on regulatory and compliance matters relating to the Securities and Exchange Commission regulations, the Exchange Act, Anti-Money Laundering laws and Financial Industry Regulatory Authority (FINRA) rules.
SEC Proposes Rule Changes to Mutual Fund and Exchange Traded Fund Disclosures
August 26, 2020 The Toughest Problem Set: Navigating Regulatory and Operational... by: Jennifer S. Geetter and Laura E. Jehl Chancery Court Dismisses Plaintiff's Claims Against Three Former... by: Scott E. Waxman and Pouya D. Ahmadi THE SEP WORLD IN BALANCE: UK Harmonizes with Germany’s Rejection of... by: Michael T. Renaud and James Wodarski LEAP Eligible Practitioners Try Their Hand at Oral Advocacy in LEAP... by: Michael J.
SEC Proposes Rule Changes to Mutual Fund and Exchange Traded Fund Disclosures
On Aug. 5, 2020, the SEC proposed modifications to current rules and forms that would significantly change the disclosures required of mutual funds and exchange traded funds (ETFs) that report on SEC Registration Statement Form N-1A, so-called “open-ended funds.” The scheme would create a new rule, 498B, and amend several rules and forms.
The SEC’s 2020 Amendments to Proxy Rules and Supplemental Guidance to Investment Advisers on Proxy Voting Responsibilities
Proxy advisory firms (Proxy Firms) have long provided institutional investors advice and recommendations with respect to management and shareholder proxy proposals. In recent years, the Securities and Exchange Commission (SEC) has expressed concerns over the accuracy, process, and conflicts of interests that may affect such advice and recommendations.
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