Litigating Class Action Securities Claims: Challenges and Opportunities
Litigating class action securities claims is an undertaking rife with complex challenges and opportunities. Picture this: You’re standing in the courtroom, and your client’s securities
Your Guide to the Series 65 Exam: All You Need to Know
So, you’re interested in becoming a registered investment advisor (RIA)? Well, you’ve come to the right place. The Series 65 exam is an essential part
Get It Right: 5 Reasons You Need Legal Support for Private Funds
You need to get it right when managing private funds. You already have your eye set on success. But the secret to achieving your goals
Private Funds, the SEC, and the Law: Which Rules Apply?
A private fund is an entity that pools money from multiple investors without soliciting public investment. These funds are not required to be treated as
A Step-by-Step Guide to Forming Private Funds
Do you have an idea for a profitable venture and wish to invest in it without the help of a third party or public offering?
Can an Alleged SEC Violation Be Settled?
When the SEC investigates violations of securities laws, the assumption is that the alleged violator is at the Commission’s mercy. The SEC seems to call
