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Securities Regulation › Retail Investors › Investment Advisers Act of 1940

Proskauer - The Capital Commitment

SEC Regulation in a Non-Regulatory Environment

Proskauer - The Capital Commitment on

With Paul Atkins as the new SEC Chair, the agency’s priorities have shifted away from many of the aggressive policies of former Chair Gensler. The first four months of the Republican controlled SEC saw a dramatic shift in the...more

Carlton Fields

Investment Adviser Hedge Clauses: A Suitable Tool to Limit Liability or an SEC Enforcement Red Flag?

Carlton Fields on

A “hedge clause,” when incorporated into an investment advisory agreement, is designed to limit an adviser’s liability to its advisory client. Even carefully worded hedge clauses, however, can attract unwanted SEC enforcement...more

Faegre Drinker Biddle & Reath LLP

Best Interest Standard of Care for Advisors #13

Faegre Drinker Biddle & Reath LLP on

Regulation Best Interest: The SEC has issued its final Regulation Best Interest (Reg BI), Form CRS Regulation, RIA Interpretation and Solely Incidental Interpretation. I am discussing the SEC’s guidance in a series of...more

Faegre Drinker Biddle & Reath LLP

Seven States and D.C. Aggressively Challenge Reg BI

Faegre Drinker Biddle & Reath LLP on

On September 9, 2019, the states of New York, California, Connecticut, Delaware, Maine, New Mexico and Oregon, and the District of Columbia (collectively, the States) filed a complaint for declaratory and injunctive relief...more

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