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Investment Management › Financial Regulatory Reform › Investment Advisers Act of 1940

Woodruff Sawyer

Looking Into the SEC Future for Financial Services Companies

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As new Chair Paul Atkins begins to make his mark on the Securities and Exchange Commission, the news cycle has been heavily focused on crypto regulation. The SEC, however, is more than just a crypto regulator....more

Tannenbaum Helpern Syracuse & Hirschtritt LLP

SEC Division of Investment Management Staff Releases Updated FAQ Regarding Marketing Rule Compliance

Tannenbaum Helpern Syracuse & Hirschtritt LLP on

On January 11, 2023, the staff of the SEC’s Division of Investment Management (the “Division Staff”) updated its list of frequently asked questions (“FAQs”) related to amended Rule 206(4)-1 (the “Marketing Rule”) under the...more

Herbert Smith Freehills Kramer

SEC Adopts New Marketing Rule

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The Securities and Exchange Commission (SEC) announced on Dec. 22, 2020, that it has finalized amendments to the current advertising rule (Rule 206(4)-1) and cash solicitation rule (Rule 206(4)-3) under the Investment...more

Dorsey & Whitney LLP

SEC Proposes Expansion of the Definitions of “Accredited Investor” and “Qualified Institutional Buyer”

Dorsey & Whitney LLP on

At the Securities and Exchange Commission’s (the “Commission”) open meeting on December 18, 2019, the Commissioners approved proposed amendments to the definition of “accredited investor” under Regulation D under the United...more

Polsinelli

SEC Proposes Expanding the Definitions of “Accredited Investor” and “Qualified Institutional Buyer”

Polsinelli on

On December 18, the U.S. Securities and Exchange Commission (“SEC”) issued a proposal to update the definition of “accredited investor” pursuant to Rule 506 of Regulation D under the Securities Act of 1933 (“Securities Act”)...more

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