RULEMAKING AND GUIDANCE -
SEC Adopts Amendments to Exemptive Applications Procedures -
On July 6, 2020, the U. S. Securities and Exchange Commission adopted rule amendments to establish an expedited review procedure...more
9/21/2020
/ Amended Rules ,
Compliance ,
Department of Labor (DOL) ,
Employee Retirement Income Security Act (ERISA) ,
Ethics ,
Fiduciary Rule ,
Final Rules ,
Financial Institutions ,
Individual Retirement Account (IRA) ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Companies ,
Investment Management ,
New Rules ,
OCIE ,
Securities and Exchange Commission (SEC)
On April 7, 2020, the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) announced that, after the initial June 30, 2020 compliance date to file Form CRS, the OCIE will conduct...more
6/8/2020
/ 401k ,
Broker-Dealer ,
Form ADV ,
Form CRS ,
IARD ,
Individual Retirement Account (IRA) ,
Investment Adviser ,
OCIE ,
Retail Investors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
In November 2019, the Securities and Exchange Commission released proposed amendments to Rule 206(4)-1 (Advertising Rule) under the Investment Advisers Act of 1940 (Advisers Act). The Advertising Rule was first adopted in...more
1/31/2020
/ Advertising ,
Best Practices ,
Comment Period ,
Financial Regulatory Reform ,
Form ADV ,
Fund Sponsors ,
Investment ,
Policies and Procedures ,
Private Investment Funds ,
Proposed Amendments ,
Proposed Rules ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Solicitation ,
Solicitation Provisions
In a case of first impression, the D.C. Circuit Court struck down the Dodd-Frank-mandated risk retention requirements for managers of open market collateralized loan obligations (CLOs). ...more
The current environment for early-stage investing with emerging managers reflects an increasing number and variety of early-stage investments firms, an increasing pool of talented emerging managers, and a growing number and...more
7/28/2015
/ Asset Management ,
Filing Requirements ,
Form ADV ,
Hedge Funds ,
Investment ,
Investment Management ,
Investors ,
Joint Venture ,
Partnership Agreements ,
Securities and Exchange Commission (SEC) ,
Volcker Rule