David Winter

Hogan Lovells

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SEC staff releases guidance relaxing certain aspects of marketing and fundraising

The Division of Investment Management of the U.S. Securities and Exchange Commission (the SEC) released new guidance on March 19, 2025 that replaces and relaxes prior guidance for registered investment advisers (RIAs) with...more

4/1/2025 / Accredited Investors , Investment Funds , Investment Management , Marketing , New Guidance , Private Funds , Registered Investment Advisors , Regulatory Reform , Rule 506(c) , Securities Regulation

SEC amends rules to expand on definition of "accredited investor"

The U.S. Securities and Exchange Commission (SEC) adopted amendments on Wednesday, August 26 to several rules under the U.S. Securities Act of 1933 (Securities Act) to modernize, expand, and clarify the definition of...more

8/31/2020 / Accredited Investors , Financial Regulatory Reform , Qualified Institutional Buyers , Regulation D , Rule 144A , Securities and Exchange Commission (SEC) , Securities Regulation

SEC proposes rules to expand and clarify "accredited investor" definition

Last week, the U.S. Securities and Exchange Commission (SEC) proposed new rules to expand and clarify the definition of "accredited investor" under the U.S. Securities Act of 1933. Among other things, the rules would open...more

12/27/2019 / Accredited Investors , Investors , Private Equity , Rulemaking Process , Securities Act of 1933 , Securities and Exchange Commission (SEC) , Securities Regulation

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