In a unanimous decision, the United States Court of Appeals for the Fifth Circuit vacated the SEC’s “Private Fund Advisers Rule.” The Fifth Circuit determined that existing law did not provide the SEC the authority to issue rules covering private investment funds.
Read the full US Regulatory Intelligence article, SEC Strikes out on “Private Fund
Access the December issue for an overview of FINRA and SEC regulatory developments of interest to broker-dealers.
Glen Barrentine is Of Counsel in the Denver office of Norton Rose Fulbright. His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. Glen frequency represents clients in connection
Access the November issue for an overview of FINRA and SEC regulatory developments of interest to broker-dealers.
Access the October issue for an overview of FINRA and SEC regulatory developments of interest to broker-dealers.
Glen Barrentine is Of Counsel in the Denver office of Norton Rose Fulbright. His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. Glen frequency represents clients in connection
Access the September issue for an overview of FINRA and SEC regulatory developments of interest to broker-dealers.
Glen Barrentine is Of Counsel in the Denver office of Norton Rose Fulbright. His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. Glen frequency represents clients in connection
The SEC remains busy exploring additional, alternative means for requiring public companies to disclose climate risks and greenhouse gas emissions.
Access the August issue for an overview of FINRA and SEC regulatory developments of interest to broker-dealers.
Access the July issue for an overview of FINRA and SEC regulatory developments of interest to broker-dealers.
Glen Barrentine is Of Counsel in the Denver office of Norton Rose Fulbright. His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. Glen frequency represents clients in connection
Access the June issue for an overview of FINRA and SEC regulatory developments of interest to broker-dealers.
Glen Barrentine is Of Counsel in the Denver office of Norton Rose Fulbright. His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. Glen frequency represents clients in connection
Access the May issue for an overview of FINRA and SEC regulatory developments of interest to broker-dealers.
Glen Barrentine is Of Counsel in the Denver office of Norton Rose Fulbright. His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. Glen frequency represents clients in connection