Investment Advisers & Private Funds

In a typical private credit transaction, a non-bank lender (often a specialized fund managed by an investment adviser) provides financing…

The Securities and Exchange Commission (“SEC”) has begun reshaping its regulatory agenda for 2026 with several initiatives that could significantly…

The Securities and Exchange Commission's recent review of the investment adviser registration threshold could have significant consequences for thousands of…

The deadline for California-registered investment adviser representatives (“IARs”) to complete their required Investment Adviser Representative Continuing Education (“IAR CE”) hours…

At the annual conference on federal and state securities cooperation, the Acting SEC Chairman, Mark T. Uyeda, announced the SEC…

On August 28, the Financial Crimes Enforcement Network (“FinCEN”), within the U.S. Treasury Department, issued a final rule, the Anti-Money…

On April 25, 2024, with the enactment of the final version of its Retirement Security Rule (the "Final Rule"), the…

As we have highlighted, on March 27, 2024, the Securities and Exchange Commission (“SEC”) amended the internet adviser exemption by…

On March 27, 2024, the Securities and Exchange Commission (“SEC”) adopted amended rules regarding the registration requirements that apply to…

On August 23, 2023, the Securities and Exchange Commission (“SEC”) adopted new rules regarding the regulation of private funds and…