Stop us if you have heard this before, but there has been yet another development in the saga that is the Corporate Transparency Act (“CTA”). Following a recent ruling from the U.S. District Court for the Eastern District of...more
The filing requirements under the Corporate Transparency Act (“CTA”) have once again been restored. In yet another reversal of the on again, off again saga, on February 18, 2025, the U.S. District Court for the Eastern...more
On August 21, 2023, the SEC announced that it had charged a registered investment adviser (the “RIA”) with violations of the Investment Advisers Act of 1940[1], including the recently amended Rule 206(4)-1 thereunder (known...more
Institutional investment managers that file Form 13F (each, an “Institutional Manager”) under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), will be required to file their first Form N-PX as soon as...more