James H.R. Windels

Rules and Regulations SEC Proposes Amendments to Liquidity Disclosure Requirements SEC Staff Releases Updated FAQs on Liquidity Risk Management Reforms Industry Update SEC Announces Na...

Industry Update SEC Announces National Compliance Outreach Seminar for Investment Companies and Investment Advisers Litigation United States Pursues False Claims Act Suit Against Priva...

Enforcement Division “Share Class Selection Disclosure Initiative” offers “favorable” settlement terms to advisers who self-report potential violations concerning Rule 12b-1 fees....

On November 29, 2017, the Solicitor General filed a brief in the Supreme Court on behalf of the Securities and Exchange Commission (“SEC”) reversing the agency’s position and arguin...

Industry Update SEC Announces Cybersecurity Enforcement Initiatives SEC Chairman Issues Statement on Cybersecurity ESG in Private Equity: What Every GP Needs to Know About Public Pension...

On July 7, 2017, the United States Court of Appeals for the Second Circuit vacated parts of the District Court’s class certification order in In re Petrobras Securities Litigation (“P...

On June 26, 2017, the full D.C. Circuit Court of Appeals split down the middle over whether the Securities and Exchange Commission’s (the “SEC’s”) appointment of Administrative ...

Decision Yesterday and Two Denials of Certiorari Today Decline to Apply American Pipe Tolling to Statutes of Repose Under Both the ’33 Act and ’34 Act On June 26, 2017, the United St...

  In May 2014, the Director of the Office of Compliance Inspections and Examinations (“OCIE”) at the Securities and Exchange Commission (“SEC”) gave a speech to the Private Fund C...

The Tenth and D.C. Circuit Courts of Appeal have come to opposite conclusions in response to constitutional challenges to the Securities Exchange Commission’s (the “SEC’s”) appoin...