In this issue, we discuss recent developments regarding compliance with Exchange Act Rule 13f-2 and Form SHO, and FinCEN’s extension of the beneficial ownership reporting deadline.
In this issue, we discuss recent developments regarding enforcement of the Corporate Transparency Act, and the SEC staff’s updated FAQs regarding the Names Rule under the Investment Com...
In this issue, we discuss recent developments regarding enforcement of the Corporate Transparency Act, and enforcement actions involving investment advisers’ alleged violations of the M...
In this issue, we discuss technical amendments adopted by the SEC to reflect the federal court’s decision to vacate the private fund advisers rule under the Advisers Act.
In this issue we discuss, among other things, recent enforcement actions involving investment advisers and alleged violations of the Marketing Rule under the Advisers Act.
In this issue we discuss, among other things, amended reporting requirements for registered funds and SEC guidance regarding open-end fund liquidity risk management programs, as well as r...
In this issue, we discuss a recent enforcement action involving a private fund adviser that allegedly included misleading performance information in advertisements in violation of the Mar...
In this issue, we discuss the U.S. Court of Appeals decision that struck down the SEC’s new rules and amendments under the Advisers Act regarding private fund advisers.
In this issue, we discuss proposed customer identification requirements for investment advisers and amendments regarding expanded cybersecurity requirements for broker-dealers, investment...
