The new broader Department of Labor fiduciary rule took effect on June 9, 2017. While the fate of the rule over the longer term remains uncertain, the basic thrust of the rule is now in ...
Rules and Regulations
SEC Staff Releases FAQs on Investment Company Reporting Modernization Reforms
SEC’s Acting Director of OCIE Says Private Equity May Be Less of a Priority Ahead
SE...
Rules and Regulations
SEC’s Acting Director of OCIE Says Private Equity May Be Less of a Priority Ahead
SEC Confirms That Some Initial Coin Offerings Are Illegal Unregistered Securitie...
Rules and Regulations
SEC Updates Form ADV Frequently Asked Questions
Interacting with Retirement Investors under the DOL Fiduciary Rule
Industry Update
Acting Director and Acting...
Industry Update
ILPA Issues Guidance on Use of Subscription Credit Lines
Rules and Regulations
Interacting with Retirement Investors under the DOL Fiduciary Rule
Rules and Regulations
SEC Adopts Technical Amendments to Form ADV and Form ADV-W to Reflect Enactment of a Wyoming State Law Regulating Investment Advisers
House Approves Revised Financi...
Rules and Regulations
House Approves Revised Financial CHOICE Act
Litigation
Supreme Court Rules that Five-Year Statute of Limitations Applies to SEC Disgorgement Actions
Articles & Books
The International Comparative Legal Guide to: Alternative Investment Funds 2017, 5th Edition
In May 2014, the Director of the Office of Compliance Inspections and Examinations (“OCIE”) at the Securities and Exchange Commission (“SEC”) gave a speech to the Private Fund C...
Rules and Regulations
SEC Proposes Amendments to Advisers Act Rules to Reflect Changes Made by the FAST Act
House Financial Services Committee Approves Revised Financial CHOICE Act
...
Rules and Regulations
SEC Proposes Amendments to Advisers Act Rules to Reflect Changes Made by the FAST Act
House Financial Services Committee Approves Revised Financial CHOICE Act
