Investment Funds & Advisers Insights Archives - Page 4 of 6 - Shartsis Friese

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Exempt Reporting Advisers and State Registered Advisers – FTC Safeguards Rule – June 9 Compliance Deadline

May 4, 2023

Jahan P. Raissi

Publications

Insider Trading – 2022 In Review

January 23, 2023

Publications

Annual Letter: 2023

January 12, 2023

Joan Grant

Publications

Recent SEC Enforcement Actions Indicate Strict Regulatory Interpretations

October 3, 2022

Publications

Upcoming Compliance Deadline for SEC Marketing Rule Compliance

September 22, 2022

Publications

Proposed Inflation Reduction Act of 2022

August 2, 2022

Publications

SEC Proposes Fundamental Changes to Private Fund Regulation

April 1, 2022

Jahan P. Raissi

Publications

“Shadow Trading” – District Court Upholds the SEC’s Shadow Insider Trading Theory

January 28, 2022 | By: Jahan P. Raissi

Publications

Annual Letter: 2022

January 13, 2022

Jahan P. Raissi

Publications

THE SEC BRINGS AN “ALT DATA” ENFORCEMENT CASE

October 5, 2021 | By: Jahan P. Raissi

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