Search for: "Peter Gould"
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1 Aug 2008, 9:56 pm
Peter Fridirici, Does Economic Crime Pay in Pennsylvania? [read post]
21 Jun 2021, 4:26 pm
Gould IV, the Charles A. [read post]
1 Oct 2012, 11:14 am
Written by: Jay Gould and Peter Chess Effective December 3, 2012, hedge funds and other private funds that rely on Section 3(c)(1) of the Investment Company Act (“3(c)(1) Funds”) and which sell their interests through third party marketers, must ensure that their private placement memoranda (“PPM”) are filed with FINRA, the Financial Industry Regulatory Authority. [read post]
11 Jan 2012, 11:59 am
Written by Jay Gould and Peter Chess Managed Funds Association (“MFA”) submitted a comment letter (the “Letter”) to the Securities and Exchange Commission (“SEC”) on January 6, 2012 with a rulemaking petition requesting the SEC to amend Rule 502(c) of Regulation D under the Securities Act of 1933. [read post]
13 Apr 2012, 3:35 pm
Gould and Peter Chess On April 5, 2012, the Jumpstart Our Business Startups Act (the “JOBS Act” or the “Act”) was signed into law, creating a new regulatory on-ramp for emerging growth companies going public. [read post]
17 Jan 2012, 1:34 pm
Written by Jay Gould, Ildiko Duckor and Peter Chess The Commodity Futures Trading Commission (CFTC) released a Final Rule on January 11, 2012, on the Registration of Swaps Dealers (SDs) and Major Swap Participants (MSPs). [read post]
14 Jun 2012, 11:00 am
Written by: Jay Gould and Peter Chess On July 1, 2010, the Securities and Exchange Commission (the “SEC”) adopted Rule 206(4)-5 under the Investment Advisers Act of 1940, as amended, which prohibited an investment adviser from providing advisory services for compensation to a government client for two years after the advisers or certain of its executives or employees make a contribution to certain elected officials or candidates. [read post]
24 Jan 2012, 3:52 pm
Written by Jay Gould and Peter Chess In re-proposed custody rules, the California Department of Corporations (“DOC”) has reflected the most important aspects of the comment letter that Pillsbury provided on July 27, 2011, such that all transactions and short positions need not be disclosed in the quarterly account statements. [read post]
12 Oct 2012, 10:37 am
Written by: Jay Gould and Peter Chess On October 9, 2012, the Securities and Exchange Commission (SEC) announced the launch of an initiative to conduct focused, risk-based examinations of investment advisers to private funds that recently registered with the SEC. [read post]
12 Jun 2012, 3:45 pm
Written by: Jay Gould and Peter Chess The Financial Industry Regulatory Authority (“FINRA”) released new guidance last month regarding new FINRA Rule 2111 (the “Suitability Rule”), which requires a broker-dealer to have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through reasonable diligence by the broker-dealer. [read post]
24 Jul 2012, 10:27 am
Written by: Jay Gould and Peter Chess In a July 10, 2012, no-action letter[1], available here, issued by a Division of the U.S. [read post]
15 Oct 2012, 3:11 pm
Written by: Jay Gould and Peter Chess Heath Abshure, President of the North American Securities Administrators Association (NASAA) and Arkansas State Securities Commissioner, sharply criticized the Securities and Exchange Commission’s (the SEC’s) new rulemaking that will lift restrictions on general solicitation and general advertising for hedge funds and other private investment vehicles in a press-teleconference on October 9, 2012. [read post]
3 Feb 2012, 8:43 am
Written by Jay Gould and Peter Chess On January 18, 2012, the Office of Investment Adviser Regulation, part of the Division of Investment Management, issued a no-action letter (the “2012 Letter”) in response to a request for guidance from the American Bar Association’s Subcommittee on Hedge Funds on issues regarding the registration of certain investment advisers that are related to investment advisers registered with the Securities and Exchange Commission (the… [read post]
14 Mar 2012, 10:28 am
Written by Jay Gould, Michael Wu and Peter Chess The Commodity Futures Trading Commission (the “CFTC”) recently amended its registration rules regarding Commodity Pool Operators (“CPOs”) and Commodity Trading Advisors (“CTAs”), which will require many general partners and managers of private investment funds that previously relied on an exemption from registration to now register with the CFTC. [read post]
24 Apr 2012, 12:02 pm
Gould and Peter Chess On April 18, 2012, the Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”) voted to adopt rules defining “swap dealer,” “security-based swap dealer,” “major swap participant,” and “major security-based swap participant,” among other terms, as mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank… [read post]
23 Oct 2012, 3:07 pm
Written by: Jay Gould and Peter Chess While you were touring the Champagne region or sipping umbrella drinks at the beach this summer, the California Department of Corporations (the “DOC”) was busy overhauling the rules applicable to investment advisers. [read post]
7 Feb 2012, 9:11 am
Written by: Jay Gould and Peter Chess 1. [read post]
9 Jan 2012, 2:54 pm
Written by Jay Gould, Ildiko Duckor and Peter Chess On January 4, 2012, the Securities and Exchange Commission (SEC) released a National Examination Risk Alert addressing investment adviser use of social media. [read post]
18 Nov 2021, 2:00 am
USC Gould School of Law – Yesha Yadav, Associate Dean for Diversity, Equity and Community, Professor of Law, and Faculty Co-director, LL.M. [read post]
1 Nov 2020, 4:35 am
Peter Ling reported on the Court’s decision. [read post]
