Earlier this summer, we wrote about both new and amended rules proposed by the Securities and Exchange Commission (“SEC”) under the Investment Advisers Act of 1940 (the “Advisers Act”) regarding private funds, their advisers,...more
8/25/2023
/ Compliance ,
Disclosure Requirements ,
Final Rules ,
Fund Managers ,
Investment ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Management ,
Investors ,
Private Funds ,
Proposed Rules ,
Registered Investment Advisors ,
Regulatory Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Transparency
Whether everyday Americans saving for retirement, college tuition, or their forever homes know it or not, there’s a chance that their money is tied, directly or indirectly, to private funds. Moreover, those Americans probably...more
6/15/2023
/ Audits ,
Compliance ,
Conflicts of Interest ,
Disclosure Requirements ,
Fees ,
Fiduciary Duty ,
Financial Institutions ,
Fraud ,
Fund Managers ,
GAAP ,
Investment Company Act of 1940 ,
Investors ,
Limited Liability Company (LLC) ,
Private Funds ,
Proposed Rules ,
Retirement ,
Securities and Exchange Commission (SEC) ,
Transparency ,
Tuition
On Wednesday, December 14, the U.S. Securities and Exchange Commission (the “SEC”) affirmatively voted to advance some major changes to U.S. stock-market rules, perhaps the biggest changes to such rules in nearly 20 years....more
12/16/2022
/ Broker-Dealer ,
Competition ,
Final Rules ,
Investment ,
Investment Adviser ,
Investors ,
Proposed Rules ,
Public Comment ,
Regulatory Agenda ,
Securities and Exchange Commission (SEC) ,
Stock Markets ,
Stocks ,
Trading Platforms