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Securities Regulation › Capital Markets › Investment Advisers Act of 1940

Mayer Brown Free Writings + Perspectives

House Committee on Financial Services Advances Capital Formation Legislation

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On July 22 and 23, 2025, the House Committee on Financial Services (the “Committee”) held a full committee markup during which it considered certain bills that, if passed, would improve investor access to the capital markets....more

Mayer Brown

SEC Charges Five Registered Investment Advisers for Marketing Rule Violations

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The US Securities and Exchange Commission (“SEC”) recently settled charges against five registered investment advisers for violations of Rule 206(4)-1 (“Marketing Rule”) under the Investment Advisers Act of 1940, as amended...more

Troutman Pepper Locke

SEC Proposes Finders Exemption

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At the October 7, 2020 open meeting of the Securities and Exchange Commission (SEC), Chairman Jay Clayton announced that the Staff of the Commission proposed to grant exemptive relief, permitting natural persons to engage in...more

Mayer Brown Free Writings + Perspectives

Business Development Company Guide for Capital Markets

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This guide covers all related information that a securities practitioner needs when working with a Business Development Company (BDC). It provides an overview of the industry and covers applicable securities laws and...more

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