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Guidance for Hedge Funds and Private Equity: Who Is a Knowledgeable Employee?

By Steve Quinlivan on 02/12/2014

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FINRA Proposes More Changes to Corporate Financing Rule

By Steve Quinlivan on 02/07/2014

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No Action Letter Allows M&A Brokers to Receive Transaction-Based Compensation

By David Jenson on 02/05/2014

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Conducting Your Business to Avoid Municipal Advisor Registration: Energy Services and Solar Energy Companies

By Steve Quinlivan on 02/05/2014

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SEC Publishes Draft Strategic Plan For Public Comment

By Steve Quinlivan on 02/03/2014

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Group Publishes Shareholder Engagement Protocol

By Steve Quinlivan on 02/03/2014

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UN Report Indicates Continued Smuggling of Conflict Minerals in DRC Region

By Steve Quinlivan on 02/02/2014

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SEC Highlights Hedge Fund and Private Equity Concerns at Compliance Seminar

By Steve Quinlivan on 01/30/2014

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SEC Alert on Investment Advisors’ Due Diligence on Hedge Funds and Private Equity

By Steve Quinlivan on 01/28/2014

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Examples of Merger Agreement Provisions Addressing Attorney-Client Privilege After Great Hill

By Steve Quinlivan on 01/28/2014

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