Publications

• Key Takeaways from IAA Webinar: Private Equity Fund Managers and the COVID-19 Liquidity Crunch
  21 May 2020
  Andrew M. Ahern
  ,
  Ramya S. Tiller
  ,
  Daniel Randazzo
  ,
  Julie Stem
• Sponsor Purchases of Portfolio Company Debt: Key Considerations in an Uncertain Environment
  14 May 2020
  Jonathan Adler
  ,
  Lorna Bowen
  ,
  Peter A. Furci
  ,
  Sidney P. Levinson
  ,
  Peter J. Loughran
  ,
  Jeffrey E. Ross
  ,
  Kevin M. Schmidt
  ,
  Scott B. Selinger
  ,
  Steven J. Slutzky
  ,
  Nicholas P. Pellicani
  ,
  Ryan T. Rafferty
  ,
  Julie Stem
• Not Just the Banks: VC and Closed-End Funds Find Relief in Dodd-Frank Overhaul
  29 May 2018
  Jonathan Adler
  ,
  Andrew M. Ahern
  ,
  Kenneth J. Berman
  ,
  David J. Schwartz
  ,
  Rebecca F. Silberstein
  ,
  Norma Angelica Lopez Campos
  ,
  Julie Stem
• Fiduciary Duties and New Best Interest Standard: The SEC Weighs In
  14 May 2018
  Jonathan Adler
  ,
  Andrew M. Ahern
  ,
  Kenneth J. Berman
  ,
  Lawrence K. Cagney
  ,
  David J. Schwartz
  ,
  Rebecca F. Silberstein
  ,
  Julie Stem
• SEC Releases Observations from Cybersecurity Examinations
  14 August 2017
  Kenneth J. Berman
  ,
  Luke Dembosky
  ,
  Jim Pastore
  ,
  Julie Stem
• The SEC Releases New Form ADV Frequently Asked Questions
  19 June 2017
  Jonathan Adler
  ,
  Andrew M. Ahern
  ,
  Kenneth J. Berman
  ,
  David J. Schwartz
  ,
  Rebecca F. Silberstein
  ,
  Julie Stem
• The SEC Adopts Form ADV and Recordkeeping Rule Amendments
  8 September 2016
  Jonathan Adler
  ,
  Andrew M. Ahern
  ,
  Kenneth J. Berman
  ,
  Michael P. Harrell
  ,
  David J. Schwartz
  ,
  Rebecca F. Silberstein
  ,
  Julie Stem
• “Living Wills” for Private Fund Sponsors? Proposed Rule Requiring Investment Adviser Business Continuity and Transition Plans
  13 July 2016
  Jonathan Adler
  ,
  Andrew M. Ahern
  ,
  Kenneth J. Berman
  ,
  Sally Gibson
  ,
  Michael P. Harrell
  ,
  Satish M. Kini
  ,
  Geoffrey Kittredge
  ,
  Andrew M. Ostrognai
  ,
  David J. Schwartz
  ,
  Rebecca F. Silberstein
  ,
  Julie Stem
• SEC Increases Qualified Client Net Worth Threshold
  20 June 2016
  Kenneth J. Berman
  ,
  Julie Stem
• Another Message to Private Fund Sponsors on Broker Registration – This Time from Enforcement
  6 June 2016
  Kenneth J. Berman
  ,
  Michael P. Harrell
  ,
  Robert B. Kaplan
  ,
  Andrew M. Ostrognai
  ,
  Jonathan R. Tuttle
  ,
  Julie Stem
• Proposed Order Regarding the SEC’s Performance Fee Rule: Inflation Adjustments to Qualified Client Thresholds
  3 June 2016
  Kenneth J. Berman
  ,
  Julie Stem
• The Shape of Things to Come: OCIE Announces Examination Priorities for 2016
  13 January 2016
  Kenneth J. Berman
  ,
  Michael P. Harrell
  ,
  Robert B. Kaplan
  ,
  Jim Pastore
  ,
  Julie Stem
• SEC Pay-to-Play Placement Agent Restriction Delayed, and a Reminder for Campaign Season
  9 July 2015
  Kenneth J. Berman
  ,
  Michael P. Harrell
  ,
  Jennifer R. Cowan
  ,
  Julie Stem
• Proposed Form ADV Amendments: The New SEC Focus on Data... and Other Matters
  9 June 2015
  Kenneth J. Berman
  ,
  Julie Stem