SEC Rules 3a5-4 and 3a44-2 Requiring Registration of Liquidity-Providing Persons as “Dealers”
On February 6, 2024, the Securities and Exchange Commission (“SEC”) adopted Rules 3a5-4 and 3a44-2 (“Final Rules”) defining the phrase…
Read MoreMonth: March 2024
The Securities and Exchange Commission Announces New Set of Private Fund Rules
On August 23, 2023, the Securities and Exchange Commission (“SEC”) adopted new rules regarding the regulation of private funds and…
Read MoreNew Reporting Requirements Under the Corporate Transparency Act
Beginning January 2024, several new laws began to take effect, impacting various professionals - specifically those U.S. businesses and entities…
Read More