In this issue, we discuss regulatory developments regarding the Investment Company Act “names rule,” new FAQs regarding the Advisers Act “marketing rule” and a FinCEN interim rule...
The new FAQs clarify when extracted performance and certain portfolio or investment characteristics may be presented on a gross basis in an advertisement, without also being presented on ...
The guidance clarifies the circumstances in which minimum investment amounts can help satisfy the reasonable steps required to verify purchasers’ accredited investor status in Rule 506(...
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...
