Leor Landa

Rules and Regulations House Approves Revised Financial CHOICE Act Litigation Supreme Court Rules that Five-Year Statute of Limitations Applies to SEC Disgorgement Actions

  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

Industry Update IM Information Update Provides Guidance to Advisers Using a Participating Affiliate Structure IM Information Update Sets Out Framework for Requesting Tax Claims Letters D...

Industry Upate Financial CHOICE ACT Proposes to Exempt Private Equity Fund Advisers from Registration and Reporting Requirements of Advisers Act SEC Subpoena Serves as a Reminder to Full...

SEC Rules and Regulations Division of Investment Management Grants No-Action Relief to the Investment Adviser Association under Custody Rule Industry Update SEC Division of Investme...

Industry Update OCIE Announces Five Most Frequent Compliance Topics Identified during Examinations of Investment Advisers

SEC Rules and Regulations SEC Staff Provides Interpretative Guidance that Restrictions of Section 22(d) of the Investment Company Act Do Not Apply to a Broker for Clean Shares SEC Issues...

SEC Rules and Regulations SEC Staff Grants No-Action Relief under Section 17(e) of the Investment Company Act to Russell Investment Management, LLC to Utilize Affiliate Broker-Dealer to ...