This article is the second of a three-part series discussing trusts in the context of certain common investor thresholds for investment in private securities. This article will examine trusts as “qualified clients” under the...more
The Securities and Exchange Commission (the “SEC”) recently adopted Rule 13f-2 and Form SHO under the Securities Exchange Act of 1934 (the “Exchange Act”), implementing provisions of the Dodd-Frank Wall Street Reform and...more
1/27/2025
/ Capital Markets ,
Disclosure Requirements ,
Dodd-Frank ,
EDGAR ,
ETFs ,
Investment Management ,
Regulation SHO ,
Regulatory Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Regulation
On December 20, 2024, the U.S. Securities and Exchange Commission (the “SEC”) announced charges against two private companies and one registered investment adviser (the “Parties”). These charges asserted that the Parties...more
1/22/2025
/ Enforcement Actions ,
Filing Requirements ,
Form D Filing ,
Investment Adviser ,
Investors ,
Privately Held Corporations ,
Regulation D ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Unregistered Securities
This article is the third and final part in a series discussing trusts in the context of certain common investor thresholds for investment in private securities. This article will examine trusts as “qualified purchases” under...more
1/20/2025
/ Exemptions ,
Hedge Funds ,
Investment Adviser ,
Investment Company Act of 1940 ,
Investment Management ,
Private Equity ,
Private Funds ,
Qualified Purchaser ,
Securities Regulation ,
Threshold Requirements ,
Trusts
Investments in private markets are rapidly becoming an essential part of a well-rounded investment portfolio, especially for ultra-high-net-worth individuals and families. According to Ernst & Young, the assets under...more