Dodd-Frank Brings Regulatory Change to Investment Advisers
May 13, 2013
Patrick D. Sweeney, Matthew H. Kunkes
New York Law Journal
Patrick Sweeney, a corporate partner at Herrick, Feinstein and Matthew Kunkes, a corporate associate, were featured in the May 13, 2013 Financial Reform Special Section of the New York Law Journal. Their article addresses the regulatory impact  of Dodd-Frank on investment advisers and discusses changes emanating from Dodd-Frank's Title IV, the "Private Fund Investment Adviser Registration Act of 2010."

CFTC and SEC Jointly Adopt Identity Theft Red Flags Rules
May 2013
Irwin A. Kishner, Irwin M. Latner, Patrick D. Sweeney
Investment Adviser Alert

CFTC Finalizes Changes to CPO and CTA Registration and Compliance Rules
February 2012
Therese M. Doherty, Arthur G. Jakoby, Philip W. Raimondi

The Resurgence of Art Funds: Leveraging a Passion for Art Into Investment Returns
Fall 2011
Jessica D. Wessel
Art & Advocacy
Recently the prevalence of so-called “passion investments” has increased, with art funds emerging as an attractive alternative investment. This article explains how art funds work and sets forth important things to consider before investing in an art fund.

The Clash of the SEC's New 'Pay-to-Play' Rules And Employees' Rights to Participate in the Political Process
December 12, 2011
BNA Securities Regulation & Law Report
Steven Feldman and Raimundo Guerra author this article, which examines the tensions between employees' general prerogatives to participate in electoral politics, on one hand, and the SEC's new pay-to-play rules, on the other.

Reporting By Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
November 2011
Irwin M. Latner, Patrick D. Sweeney, Irwin A. Kishner
Dodd-Frank Alert

Recent Changes to "Accredited Investor" Standard
July 2010
Irwin M. Latner, Patrick D. Sweeney
Hedge Fund and Private Equity Fund Alert

SEC Adopts "Pay to Play" Rule For Investment Advisers, Their Principals and Key Employees
July 2010
Irwin A. Kishner, Patrick D. Sweeney, Richard M. Morris
Investment Adviser Alert

Corporate Alert: Interests Between Common and Preferred Stock Holders; “Principal Place of Business”; New Rules on Asset-Backed Securities; Improper Transfer of Shares; Special Litigation Process; Excessive Investment Advisory Fee Liability; WARN Act; NASDAQ’s Modifications of Press Release Requirements
April 2010
Irwin A. Kishner, Daniel A. Etna

Corporate Alert: One Word Says It All, Minority Shareholder’s Rights, New Arbitration Rules, Letter of Intent Binding, Trust Agreement Dispute, “Bet the Company” Transactions, Preliminary Merger Negotiations, Climate Change Disclosure, HSR Act, New Excise Tax
February 2010
Irwin A. Kishner, Daniel A. Etna

Impact of Recent Amendments to SEC’s Custody Rule
February 2010
Irwin M. Latner, Patrick D. Sweeney
Investment Adviser Alert

Corporate Alert: Additional Remedies for Breach of Merger Agreement; Oral LLC Operating Agreements Subject to Statute of Frauds; New SEC Disclosure Rules for Proxy Solicitations, Annual Reports and Registration Statements; Corporate Proprietary Information at Risk for International Travelers; SEC Proposal Aims to Facilitate Issuer Access to Capital Markets
January 2010
Irwin A. Kishner, Edward B. Stevenson

Corporate Quick Hit: Engagement Letter Claim; Legislation to Tax Carried Interests as Ordinary Income; Revlon Duties in Cash/Stock Mergers; G Enforcement Action; Judicial Dissolution Guidance; Heightened Review Standard to Merger; Commodity Pool Operators; Employment Verification Law; Financial Stability Improvement Act of 2009
December 2009
Irwin A. Kishner, Daniel A. Etna

A Rumor vs. Insider Trading—A Line You Don’t Want to Cross: Distinctions Financial Professionals Need to Know
November 2009
Steven D. Feldman
Securities Alert

Corporate Alert: Board Can Breach Fiduciary Duties by Improperly Favoring Preferred Stockholders; Director’s Duty to Disclose Wrongdoing When Negotiating a General Release; US Court of Appeals: Unauthorized Transfer of Software License by Merger Constitutes Copyright Infringement; SEC Votes to Regulate Dark Pools
November 2009
Edward B. Stevenson, Irwin A. Kishner

Corporate Quick Hit: “Say on Pay” Policy; Sarbanes-Oxley “Claw back” Enforcement Action; Enforcing Regulation FD; Duty of Loyalty Standard; New Exchange Rules for Breaking Erroneous Stock Trades; Life Settlement Securitization; Final Stage of Sarbanes-Oxley Act; Pending Bill: Fund Managers to Register as Investment Advisors
October 2009
Irwin A. Kishner, Daniel A. Etna

Corporate Alert: Court Rejects Rating Agencies’ Reliance on First Amendment Protection in Investment Collapse Suit; SEC Investor Advisory Committee Announces Formation of Subcommittees; Can a Company Sue a Director of Its Subsidiary for Wrongdoing?; SEC and CFTC Conduct Joint Meetings on Regulation Harmonization; SEC Proposes Ban on Flash Orders—Update
September 2009
Irwin A. Kishner, Edward B. Stevenson

Final FDIC Regulations for Failed Bank Acquisitions: What's in Store for Private Equity Investors
September 2009
Richard M. Morris, Irwin A. Kishner, John A. Rogers Jr.
Private Equity Alert

The Private Fund Investment Advisers Registration Act of 2009
July 2009
Irwin M. Latner, Patrick D. Sweeney
Investment Advisor Alert

Current Regulatory Developments Concerning the Distribution of Mutual Fund Shares
May 2005
Patrick D. Sweeney
The Investment Lawyer
Pat Sweeney's article entitled "Current Regulatory Developments Concerning the Distribution of Mutual Fund Shares" appears in The Investment Lawyer.