Apr 28, 2023 The ABCs of ESG By Elizabeth Prendergast Last week we launched our new limited podcast series, "ESG Insights." Over the next several weeks, we will explore the intersection of...
Apr 05, 2023 SEC Proposes Three Rules Establishing Comprehensive Cybersecurity Requirements By Daniel Armel On March 15, 2023, the Securities and Exchange Commission (“SEC”) concurrently proposed three rules designed to address the growing...
Jun 20, 2022 Proposed Bill Would Hand Oversight of Crypto to CFTC By Kieran Edstrom Under a new bill sponsored by Sens. Cynthia M. Lummis (R-Wyo.) and Kirsten Gillibrand (D-N.Y.), the primary oversight of cryptocurrencies...
May 05, 2022 Digital Assets Warning: SEC Bolsters its Crypto Assets and Cyber Unit By Samuel Mehr On Tuesday May 4, the Securities and Exchange Commission announced its plan to nearly double its Enforcement Division's Digital Asset and...
May 03, 2022 Making ESG Profitable -- an important perspective By David Crass Interesting on-line article from Fortune recently (linked below) makes the case for "Authentic ESG" and is worth the read wherever you...
Mar 10, 2022 EJScreen Ver. 2.0 By David Crass The Biden Administration's focus on Environmental Justice (EJ) issues continues as two recent releases reveal. USEPA released an updated...
Mar 08, 2022 SEC Charges No. 1 Most Active U.S. Venture Investor with Misleading Investors By Erika Tribuzi On March 4, 2022, the U.S. Securities and Exchange Commission (SEC) charged venture capital fund adviser Alumni Ventures Group, LLC (AVG)...
Mar 02, 2022 GameStop is Still Relevant: SEC Proposes T+1 Settlement Cycle By Iqan Fadaei Betsy Voter Earlier this year, we wrote about the GameStop saga of late 2020/early 2021 and its impact on U.S. capital markets. That drama led to...
Jan 05, 2022 Raising Money? Use this New SEC Tool to Learn About Your Options. By Iqan Fadaei Betsy Voter Kevin Timken If you’re looking to raise capital for your company or fund, this new tool from the SEC can help you figure out which rules may apply and...
Dec 03, 2021 Yes, GME has Changed Equity Markets: the SEC Just Published its Proposed Shorting Rule By Iqan Fadaei Betsy Voter Last month, we issued an alert noting that the Reddit/meme stock short-selling saga of January 2021 may change the U.S. equity markets....
Nov 24, 2021 Will the GameStop Frenzy Change the Equity Markets? SEC Releases Report on the Market Conditions of Early 2021 By Iqan Fadaei Less than a year ago, in January 2021, GameStop Corp. - GME made national headlines when its stock price rose from under $19 on December...
Nov 23, 2021 SEC Issues Risk Alert on Investment Adviser Fees By Iqan Fadaei Betsy Voter Last week, the SEC Division of Examinations published its observations of advisory fees charged by SEC-registered investment advisers...