Accredited Investors, Disclosure Requirements, Investment Company Act of 1940

Accredited Investors › Disclosure Requirements › Investment Company Act of 1940

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Accredited Investors are a class of investors whose purchases are exempt from certain SEC registration requirements. Rule 501 of Regulation D lists eight categories of investors that qualify as accredited... more +

SEC Staff Announces Reversal of Policy Limiting Retail Access to Registered Funds of Funds

Akin Gump Strauss Hauer & Feld LLP on 8/19/2025

On August 15, 2025, the staff of the SEC’s Division of Investment Management (the “Staff”) published a new Accounting and Disclosure Information (“ADI”) regarding registered closed-end funds of private funds (“CE-FOPFs”)....more

SEC Lifts 15% Limit on Private-Asset Holdings for Registered Closed-End Funds that Invest in Private Funds

Seward & Kissel LLP on 8/19/2025

Who may be interested: Registered Closed-End Funds, Registered Investment Advisers, Compliance Staff, Boards of Directors, Broker-Dealers, Private Fund Managers - Quick Take: The Securities and Exchange Commission (the...more

Democratization of VC funds

Lowenstein Sandler LLP on 8/6/2025

At least once or twice per year, a prospective client will call with the greatest new idea—launch a venture fund for everyone. Open up potential fundraising by appealing to moderate-income people. Why hasn’t anyone thought of...more

SEC Adopts New Rules Applicable to SPACs, Shell Companies and Projections

Goodwin on 1/26/2024

We previously noted in our March 31, 2022 alert that the U.S. Securities and Exchange Commission (SEC or Commission) held an open meeting on March 30, 2022 to consider proposed rules and amendments regarding special purpose...more

SEC Expands “Accredited Investor” Definition and Modernizes Disclosure Required by Regulation S-K

Fenwick & West LLP on 8/31/2020

On August 26, 2020, the U.S. Securities and Exchange Commission adopted final rules to expand the accredited investor definition and modernize the disclosure requirements under Regulation S-K Items 101 (Business), 103 (Legal...more

Treasury Issues Plan to Streamline Capital Markets Regulation

Stinson - Corporate & Securities Law Blog on 10/9/2017

Pursuant to Executive Order 13772, the Treasury Department has issued a report that identifies laws, treaties, regulations, guidance, reporting and record keeping requirements, and other government policies that promote or...more

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