Charles Parsons

Charles Parsons

Proskauer Rose LLP

Contact
View Bio
RSS

Latest Posts › Investment Advisers Act of 1940

Share:

SEC Adopts Higher Net Worth Threshold for Qualified Clients under the Advisers Act

In an order dated June 14, 2016, the Securities and Exchange Commission (SEC) adopted its prior proposal to increase the net worth threshold for "qualified clients" under Rule 205-3 of the Investment Advisers Act of 1940 (the...more

6/22/2016  /  Advisory Contracts , High Net-Worth , Investment Advisers Act of 1940 , Investment Company Act of 1940 , Performance Fee Rule , Qualified Client , Qualified Purchaser , Registered Investment Advisors , Securities and Exchange Commission (SEC)

SEC Issues Guidance on Personal Securities Transactions Reporting

On June 26, 2015, the Securities and Exchange Commission (SEC) issued a guidance update on Rule 204A-1 of the Investment Advisers Act of 1940 (Advisers Act). Rule 204A-1 requires, among other things, certain advisory...more

7/3/2015  /  Board of Directors , Ethics , Guidance Update , Investment Adviser , Investment Advisers Act of 1940 , Reporting Requirements , Securities and Exchange Commission (SEC) , Trustees
2 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide