Robert Pommer

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Articles

Confirmation Hearing For SEC Chair Nominee Atkins - Takeaways For Fund Managers

3 weeks ago | mondaq.com | John Mahon |Robert Pommer |Louis Rambo |Nathan Schuur

The Senate Banking Committee convened on Thursday to considerthe nomination of Paul Atkins, President Trump's nominee forChair of the Securities and Exchange Commission, along with thenominees for the Comptroller of the Currency, the AssistantSecretary of the Treasury and the Department of Transportation.
Eight Enforcement Trends That Likely Will End Under a Trump SEC | JD Supra

Dec 23, 2024 | jdsupra.com | Robert Pommer

The Voting Record and Public Statements of the Commissioners Provide a RoadmapThere has been much speculation on what SEC enforcement will look like under a new administration, especially now that President-elect Donald Trump has nominated former Commissioner Paul Atkins as the next SEC chair. To be sure, there will be a resetting of enforcement priorities under a new chair that comes with any change in administration.
2024 SEC Enforcement Results - Takeaways For Fund Managers

Dec 5, 2024 | mondaq.com | Joshua M. Newville |Robert Pommer

PR Proskauer Rose LLP More The world’s leading organizations and global players choose Proskauer to represent them when they need it the most. Our top tier team of star trial attorneys, acclaimed transactional lawyers and exceptionally talented partners and associates have earned a reputation for the relentless pursuit of perfection and a dauntless pursuit of success.
2024 SEC Enforcement Results – Takeaways for Fund Managers | JD Supra

Dec 4, 2024 | jdsupra.com | Joshua M. Newville |Robert Pommer

On November 22, 2024, the SEC’s Division of Enforcement announced its Enforcement Results for Fiscal Year 2024. Below are some key takeaways for fund managers: Total enforcement actions were down from recent years. The Commission brought 583 total enforcement actions in FY 2024, which represents a 25% decrease from FY 2023’s 784 actions. The SEC filed 431 new standalone enforcement actions, representing a 14% decrease from the prior year (501).
Funds In Focus: Top SEC Exam And Enforcement Trends

Nov 14, 2024 | mondaq.com | Howard J Beber |Stephen Mears |Robert Sutton |Robert Pommer

PR Proskauer Rose LLP More The worldâ€™s leading organizations and global players choose Proskauer to represent them when they need it the most. Our top tier team of star trial attorneys, acclaimed transactional lawyers and exceptionally talented partners and associates have earned a reputation for the relentless pursuit of perfection and a dauntless pursuit of success.
SEC Continues Enforcement Program Targeting Late Beneficial Ownership Reports

Oct 23, 2024 | mondaq.com | Frank Zarb |Louis Rambo |Joshua A. Newville |Robert Pommer

Following its adoption almost one year ago of amended rules accelerating filing deadlines for Schedules 13G and 13D (and the imminent effectiveness of the new deadlines for 13Gs), the SEC has continued to bring enforcement cases focusing on the timing of initial filings, amendments, and transitions from Schedule 13G to 13D, as well as Section 16 filings.
SEC Continues Enforcement Program Targeting Late Beneficial Ownership Reports | JD Supra

Sep 27, 2024 | jdsupra.com | Joshua M. Newville |Robert Pommer |Louis Rambo

Following its adoption almost one year ago of amended rules accelerating filing deadlines for Schedules 13G and 13D (and the imminent effectiveness of the new deadlines for 13Gs), the SEC has continued to bring enforcement cases focusing on the timing of initial filings, amendments, and transitions from Schedule 13G to 13D, as well as Section 16 filings.
SEC Continues Enforcement Program Targeting Late Beneficial Ownership Reports

Sep 26, 2024 | lexology.com | Frank Zarb |Louis Rambo |Joshua M. Newville |Robert Pommer |Robert Sutton

Following its adoption almost one year ago of amended rules accelerating filing deadlines for Schedules 13G and 13D (and the imminent effectiveness of the new deadlines for 13Gs), the SEC has continued to bring enforcement cases focusing on the timing of initial filings, amendments, and transitions from Schedule 13G to 13D, as well as Section 16 filings.
SEC Enforcement Action Underscores Need for MNPI Policies in CLO Trading | JD Supra

Sep 9, 2024 | jdsupra.com | Joshua M. Newville |Robert Pommer |Robert Sutton

In a significant enforcement action, the SEC sanctioned a private fund manager for failing to establish and maintain adequate policies and procedures to prevent the misuse of material nonpublic information (MNPI) while trading in securities issued by collateralized loan obligation vehicles (CLOs).
SEC Enforcement Action Underscores Need For MNPI Policies In CLO Trading

Sep 9, 2024 | mondaq.com | Joshua M. Newville |Robert Pommer |Robert Sutton

In a significant enforcement action, the SEC sanctioned a private fund manager for failing to establish and maintain adequate policies and procedures to prevent the misuse of material nonpublic information (MNPI) while trading in securities issued by collateralized loan obligation vehicles (CLOs).