Securities

Recent Posts

SEC Charges Tied to the Lack of an Algorithm
Posted on 8 Jul 2014 by Thomas O. Gorman

High speed trading and the use of algorithms is a key topic of debate. An investment strategy centered on an algorithm for use in the currency markets is at the center of a settled administrative proceeding filed by the Commission. The difficulty in the... Read More

Real Estate Funds and the Investment Company Act
Posted on 30 Mar 2011 by Doug Cornelius

Traditionally, private fund managers have looked at the section 3(c)(1) or section 3(c)(7) exemptions from the definition of "investment company" to avoid the restrictions of being regulated under the Investment Company Act. Dodd-Frank defined... Read More

Are You an Investment Company?
Posted on 29 Mar 2011 by Doug Cornelius

Fund managers are dealing with Dodd-Frank and the requirements under the Investment Advisers Act made by the Securities and Exchange Commission. Of course, a fund manager needs to focus on other areas of financial regulation and enforcement by the... Read More