On September 19, 2023, the jurisdictional boundaries between the regulation of swaps by the Commodity Futures Trading Commission (the “CFTC”) and the regulation of security-based swaps (“SBSs”) by the Securities and Exchange...more
On August 26, 2020, by a 3-2 vote, the Securities and Exchange Commission (the “SEC”) adopted rule changes that generally expand the scope of the definitions of “accredited investor” in Rule 501(a) of Regulation D and of...more
8/28/2020
/ Accredited Investors ,
Asset Management ,
Financial Regulatory Reform ,
Investment Opportunities ,
Private Funds ,
Qualified Institutional Buyers ,
Registered Investment Advisors ,
Rule 144A ,
Rural Business Investment Companies (RBICs) ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
By a 3-2 vote, the Securities and Exchange Commission (the “SEC”) approved the publication of a release on December 18, 2019, generally expanding the scope of the definitions of “accredited investor” in Rule 501(a) of...more
1/23/2020
/ Accredited Investors ,
Family Offices ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Regulatory Reform ,
Investment Advisers Act of 1940 ,
Investment Opportunities ,
Limited Liability Company (LLC) ,
Proposed Amendments ,
Qualified Institutional Buyers ,
Regulation D ,
Regulatory Oversight ,
Regulatory Requirements ,
Rule 144A ,
Rule 163B ,
Rule 501(a) ,
Rulemaking Process ,
Rural Business Investment Companies (RBICs) ,
Securities Act ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Regulation
The Commodity Futures Trading Commission (the “CFTC”) approved the publication of two releases (the “Final Rules”) on November 25, 2019, adopting final amendments to Part 4 of the CFTC Rules which codify and expand a number...more
1/17/2020
/ CFTC ,
Commodities ,
Commodity Pool ,
Commodity Trading Advisors (CTAs) ,
CPOs ,
Exemptions ,
Final Rules ,
Financial Regulatory Reform ,
JOBS Act ,
No-Action Letters ,
Proposed Amendments ,
Registered Investment Advisors ,
Registered Investment Companies (RICs) ,
Registration Requirement ,
Regulatory Requirements ,
Reporting Requirements ,
Rulemaking Process ,
Securities and Exchange Commission (SEC)
The Securities and Exchange Commission (the “Commission” or the “SEC”), on November 4, approved the publication of a substantial release (the “Release”) proposing significant amendments to the rules under the Investment...more
12/3/2019
/ Advertising ,
Books & Records ,
Business Development Companies ,
Form ADV ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Portability ,
Proposed Amendments ,
Registered Investment Companies (RICs) ,
Regulatory Agenda ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Wealth Management
The Securities and Exchange Commission (the “Commission” or the ”SEC”), on November 4, approved the publication of a substantial release (the “Release”) proposing significant amendments to the rules under the Investment...more
12/3/2019
/ Advertising ,
Disqualification ,
Financial Regulatory Reform ,
Form ADV ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Proposed Amendments ,
Recordkeeping Requirements ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Solicitation ,
Solicitation Provisions ,
Written Agreements