Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights October 16, 2020 Client Update SEC Proposes to Exempt Certain “Finders” from Broker-Dealer Registration Requirements A divided SEC voted last week to issue a Proposed Exemptive Order (the Proposal) that would, if adopted, permit natural pe... September 30, 2020 Client Update Investment Management Regulatory Update - September 2020 Rules and Regulations SEC Expands Access to Private Offerings Industry Update OCIE Publishes Risk Alert on Cybersecurit... September 1, 2020 Client Update SEC Expands Access to Private Offerings On August 26, the Securities and Exchange Commission expanded the definitions of “accredited investor” in Regulation D... August 31, 2020 Client Update Investment Management Regulatory Update - August 2020 Rules and Regulations SEC Modernizes the Accredited Investor Definition SEC Proposes Amendments to Modernize Fund Shareho... July 31, 2020 Client Update Investment Management Regulatory Update - July 2020 Rules and Regulations SEC Proposes Amendments to Update Form 13F for Institutional Investment Managers SEC Adopts Amen... July 24, 2020 Client Update Securities and Exchange Commission Issues Supplemental Guidance Concerning Proxy Voting Responsibilities of Investment Advisers On July 22, 2020, the SEC issued a release with guidance that supplements its prior guidance regarding the proxy voting re... June 29, 2020 Client Update Investment Management Regulatory Update - June 2020 COVID-19 Update SEC Extends Relief for Virtual Meetings of Registered Fund Boards Rules and Regulations SEC’s Divisio... June 25, 2020 Client Update Expansive New California Privacy Measure Cleared for November Ballot While businesses operating in California are still adjusting to the requirements of the California Consumer Privacy Act (C... June 23, 2020 Client Update Supreme Court Preserves SEC's Disgorgement Authority, But with Limits On Monday, June 22, 2020, the Supreme Court decided Liu v. Securities and Exchange Commission, the latest decision in a lo... June 22, 2020 Client Update SEC Issues Targeted Regulatory Relief for Advisers and Registered Funds Affected by the Coronavirus Outbreak – Updated On March 13, March 25 and June 19, the SEC issued exemptive orders providing temporary relief from certain filing and deli... Load More
October 16, 2020 Client Update SEC Proposes to Exempt Certain “Finders” from Broker-Dealer Registration Requirements A divided SEC voted last week to issue a Proposed Exemptive Order (the Proposal) that would, if adopted, permit natural pe...
September 30, 2020 Client Update Investment Management Regulatory Update - September 2020 Rules and Regulations SEC Expands Access to Private Offerings Industry Update OCIE Publishes Risk Alert on Cybersecurit...
September 1, 2020 Client Update SEC Expands Access to Private Offerings On August 26, the Securities and Exchange Commission expanded the definitions of “accredited investor” in Regulation D...
August 31, 2020 Client Update Investment Management Regulatory Update - August 2020 Rules and Regulations SEC Modernizes the Accredited Investor Definition SEC Proposes Amendments to Modernize Fund Shareho...
July 31, 2020 Client Update Investment Management Regulatory Update - July 2020 Rules and Regulations SEC Proposes Amendments to Update Form 13F for Institutional Investment Managers SEC Adopts Amen...
July 24, 2020 Client Update Securities and Exchange Commission Issues Supplemental Guidance Concerning Proxy Voting Responsibilities of Investment Advisers On July 22, 2020, the SEC issued a release with guidance that supplements its prior guidance regarding the proxy voting re...
June 29, 2020 Client Update Investment Management Regulatory Update - June 2020 COVID-19 Update SEC Extends Relief for Virtual Meetings of Registered Fund Boards Rules and Regulations SEC’s Divisio...
June 25, 2020 Client Update Expansive New California Privacy Measure Cleared for November Ballot While businesses operating in California are still adjusting to the requirements of the California Consumer Privacy Act (C...
June 23, 2020 Client Update Supreme Court Preserves SEC's Disgorgement Authority, But with Limits On Monday, June 22, 2020, the Supreme Court decided Liu v. Securities and Exchange Commission, the latest decision in a lo...
June 22, 2020 Client Update SEC Issues Targeted Regulatory Relief for Advisers and Registered Funds Affected by the Coronavirus Outbreak – Updated On March 13, March 25 and June 19, the SEC issued exemptive orders providing temporary relief from certain filing and deli...