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Seward & Kissel LLP

SEC Staff Publish New Registered Fund Statistics Report

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Who may be interested: Registered Investment Companies; Boards of Directors; Investment Advisers - Quick Take: The staff of the SEC’s Division of Investment Management (“Staff”) has published a new report entitled...more

Foley & Lardner LLP

SEC Adopts New Private Funds Rules: Key Takeaways for Private Fund Advisers and Investors

Foley & Lardner LLP on

During an open meeting on Wednesday, August 23, 2023, the U.S. Securities and Exchange Commission (the “SEC” or the “Commission”) voted 3-2 along party lines to adopt new rules (collectively referred to as the “Private Funds...more

Broker-Dealer Compliance + Regulation

Form ADV Amendments: Ready to Go?

Broker-Dealer Compliance + Regulation on

As summer recedes and we head into the autumn, investment advisers are in the home stretch of preparations for Form ADV reporting and disclosure changes that become effective October 1, 2017. The amendments, which were...more

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