SEC Releases Information Update to Align Existing Staff Letters with New Adviser Marketing Rule
As discussed more fully in our earlier article, the Securities Exchange Commission (“SEC”) adopted its new Marketing Rule on December…
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Upcoming Deadlines: Investment Advisers’ Year-End and Q1 2022 Compliance Reminders
At the end of every fiscal year, U.S. registered investment advisers (“RIAs”) have regulatory compliance tasks and obligations, which range…
Read MoreIf I Hold an Ownership Interest in a Privately Held, U.S. Domiciled Entity, Will I Need to Disclose Beneficial Ownership Information?
The Corporate Transparency Act (“CTA”) will soon require U.S. domiciled or active entities to report beneficial ownership information to the…
Read MoreFINRA Withdraws Its Proposed Expungement Rule Changes
FINRA proposed a change to its expungement rules in the Fall of 2020, seeking to alter certain aspects of the…
Read MoreChange to Definition of “Qualified Client” Takes Effect
Investor sophistication standards are critical for hedge funds, private equity funds and other advisory firms that use performance-based compensation agreements.…
Read MoreSEC’s Order and Dissent Highlights Uncertain Regulatory Environment for Digital Assets
In a recent administrative proceeding before the Securities and Exchange Commission, crypto firm Blotics, Ltd., also known as Coinschedule.com, drew…
Read MoreRansomware is Out There: Are Your Compliance Policies and Procedures Ready?
Ransomware has emerged as the hack-du-jour and seems to be happening with more and more frequency. On June 7, 2021,…
Read MoreNew York Anti-SLAPP Rules Strengthened
New York State passed new anti-SLAPP laws on November 10, 2020. The term “SLAPP” is an acronym that stands for…
Read MoreAmendments Proposed to Rule 144
On December 22, 2020, the Securities and Exchange Commission (“SEC”) voted to propose an amendment to Rule 144 under the…
Read MoreSEC OVERHAULS MARKETING RULES FOR INVESTMENT ADVISORS
After more than a year of review and public comment, the Securities and Exchange Commission (SEC) announced on December 22,…
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