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SEC Rulemaking: Proposed Rule on Use of Predictive Analytics, AI and Other Technologies

On July 26, 2023, the SEC proposed new rules applicable to registered investment advisers and broker-dealers (available here) intended to address certain conflicts of interest relating to the use of predictive analytics,...more

SEC Adopts Updates to Private Fund Reporting on Form PF

On May 3, 2023, the SEC approved amendments to Form PF reporting requirements for private fund managers. Most significantly, the updates introduce new event reporting obligations for SEC-registered private fund advisers,...more

Reminder About SEC's New Marketing Rule for Investment Advisers

As a reminder, the U.S. Securities and Exchange Commission (the “SEC”) adopted new rules in late 2020 (the “Marketing Rules”) that govern investment adviser advertising and use of solicitors/placement agents. The Marketing...more

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