In an extensive release,1 the U.S. Securities and Exchange Commission (SEC), proposed new and amended rules (collectively, the Proposed Rules) under the Investment Advisers Act of 1940 (the Act) that would impose specific...more
3/22/2022
/ Audits ,
Disclosure Requirements ,
Fees ,
Financial Statements ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Misappropriation ,
Policies and Procedures ,
Private Funds ,
Proposed Amendments ,
Proposed Rules ,
Quarterly Report ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC)
On July 22, 2020, during an open meeting, the Securities and Exchange Commission (SEC) voted 3 to 1 to adopt amendments to the securities rules governing proxy solicitations. The amendments are designed to increase...more
Whether just starting a venture or developing a hot emerging business over time, entrepreneurs spend a significant amount of time responding to requests about financial projections and intellectual property. While many...more
12/4/2019
/ Books & Records ,
Business Development ,
Business Formation ,
Capitalization ,
Corporate Entities ,
Corporate Governance ,
Corporate Minutes ,
Corporate Records ,
Entrepreneurs ,
Investors ,
Recordkeeping Requirements
In a series of three proposed regulations with requests for comments, the Securities and Exchange Commission (SEC) seeks to enhance communications by broker-dealers and investment advisers to their customers and clients. This...more
In a series of three proposed regulations with requests for comments, the U.S. Securities and Exchange Commission (SEC) seeks to enhance and clarify the standards of conduct and duties owed by broker-dealers and investment...more
In a series of three proposed regulations1 with requests for comments, the Securities and Exchange Commission (SEC) seeks to enhance and clarify the standards of conduct and duties owed by broker-dealers and investment...more