Nora M. Jordan

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

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

A revised version of the Financial CHOICE Act (commonly referred to as CHOICE Act 2.0) was passed by the House Financial Services Committee last week on a strictly partisan vote and will ...

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...