Kay A. Gordon

Jan 8, 2025 | natlawreview.com | Kay A. Gordon

On December 20, 2024, the U.S. Securities and Exchange Commission (SEC) announced that it settled charges issued against one registered investment adviser and two private companies for failing to file Forms D in connection with unregistered securities offerings.[1] Issuers must file Forms D with the SEC to rely on the exemptions under Regulation D from securities registration.

Oct 30, 2024 | mondaq.com | Kay A. Gordon |Kevin McNiff |James McGrath

On October 21, 2024, the Division of Examinations (the "Division") of the U.S. Securities and Exchange Commission (the "SEC") announced its annual 2025 examination priorities (the "Examination Priorities").1 First published by the Division in 2013, the Examination Priorities are an industry outreach initiative by the SEC providing advisers and other market participants with valuable resources designed to assist them in updating their compliance policies, procedures, and practices to address...

Oct 25, 2024 | natlawreview.com | Kay A. Gordon

On October 21, 2024, the Division of Examinations (the “Division”) of the U.S. Securities and Exchange Commission (the “SEC”) announced its annual 2025 examination priorities (the “Examination Priorities”).[i] First published by the Division in 2013, the Examination Priorities are an industry outreach initiative by the SEC providing advisers and other market participants with valuable resources designed to assist them in updating their compliance policies, procedures, and practices to address...