Investment Management Regulatory Update - September 2014
SEC Rules and Regulations
- SEC Proposes Two-Year Extension of Rule 206(3)-3T
- SEC Grants No-Action Relief Permitting Investment Adviser to Offer Advisory Fee Rebate
Industry Update
- CFTC Grants Exemptive Relief to Permit Certain CPOs to Engage in General Solicitation
- IRS Memorandum Concludes That Members of an Investment Management Firm Organized as an LLC Owed Self-Employment Tax on Their Shares of the Firm’s Income
- SEC Summarizes Use of Form PF Data in Annual Staff Report
- SEC Investor Advocate Promotes User Fees
This communication, which we believe may be of interest to our clients and friends of the firm, is for general information only. It is not a full analysis of the matters presented and should not be relied upon as legal advice. This may be considered attorney advertising in some jurisdictions. Please refer to the firm's privacy notice for further details.
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