Court Filings

NAPFM has filed a petition for review of the final order of the Securities and Exchange Commission (SEC) in Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews.

• Opening Brief for Petitioners

NAPFM has filed a petition for review of the final orders of the Securities and Exchange Commission (SEC) in Reporting of Securities Loans and Short Position and Short Activity Reporting by Institutional Investment Managers.

• Opening Brief for Petitioners 

NAPFM has filed a complaint against the Securities and Exchange Commission (SEC) in connection with the final order of the SEC in Further Definition of “As a Part of a Regular Business” in the Definition of Dealer and Government Securities Dealer.

• Plaintiffs’ Brief in Support of Motion for Summary Judgment

NAPFM has filed amicus briefs in connection with the following proceedings:

SEC v. Almagarby, No. 21-13755 (11th Cir.).

• Opening Amicus Brief

• Reply Amicus Brief

SEC v. Keener, No. 22-14237 (11th Cir.).

SEC v. Carebourn Capital, LP (D. Minn.).