(Podcast) The Briefing – Fake Reviews, Real Consequences: Consumer Review Dos and Don’ts
The Briefing – Fake Reviews, Real Consequences: Consumer Review Dos and Don’ts
California Employment News: Understanding the FTC Non-Compete Ban Key Insights for Employers
California Employment News: Understanding the FTC Non-Compete Ban Key Insights for Employers (Podcast)
PODCAST: Williams Mullen's Benefits Companion - IRS Clarifies Emergency Distributions Tax Exceptions
Sustainable Procurement: A Closer Look at the New Federal Acquisition Regulation (FAR)
DE Under 3: Retirement of “Chevron Doctrine” Exposed Vulnerability of OFCCP’s Overreaching Interpretations of Some of its Rules
Navigating Mass Arbitration: New Rules and Strategies — The Consumer Finance Podcast
Tackling Credit Push Fraud: Understanding Nacha's Risk Management Package (Part One) — Payments Pros: The Payments Law Podcast
Protecting Our Nation’s Data: Cybersecurity Compliance for Government Contractors
The Burr Broadcast: New Independent Contractor Rule
#WorkforceWednesday: The Department of Labor's New Rules and Rising Challenges - Employment Law This Week®
PLI's inSecurities Podcast - Addressing the “Netflix Problem” in Securities Regulation
New SEC Private Funds Rules – What Is Happening and What You Need to Know - Troutman Pepper Podcast
Episode 288 -- SEC Adopts Robust New Cybersecurity Disclosure Rules
[Podcast] The FTC Safeguards Rule: A Deep Dive into the Revisions Effective June 9, 2023
Non-Compete Agreements: An Endangered Species?
I Understood There Would Be No Math: Audits, Extrapolations, and a New Set of Rules
What Litigants Need to Know about Summary Judgment
Developing Philly: The State of Philadelphia's Tax Abatements in 2022
On June 25, 2024, a final judgment was entered by a federal district court against investment adviser Lufkin Advisors LLC and its principal, Chauncey Lufkin, for losing access to a crypto wallet used to manage a client’s...more
As we reach the midpoint of 2024, the SEC has maintained its rigorous enforcement stance on the private funds industry, proposing new rules and oversight tools to better identify and investigate market practices. As 2024...more
Starting May 28, 2024, the settlement cycle for most transactions in U.S. securities will shorten from T+2 to T+1 as a result of rule amendments adopted by the Securities and Exchange Commission (SEC).1 The SEC also adopted a...more
Every year compliance officers face the unenviable job of performing their compliance program's annual review under Advisers Act Rule 206(4)-7). An essential element of that review is updating the firm's compliance policies...more
On 23 August, the US Securities and Exchange Commission adopted new rules and rule amendments that will impose substantial regulation on the management and operation of private funds by investment advisers. The Guide to...more
The Securities and Exchange Commission (“SEC”) recently adopted sweeping new rules (the “Rules”) under the Investment Advisers Act of 1940 (the “Advisers Act”) that include significant changes governing how private...more
On August 23, the United States Securities and Exchange Commission (the “SEC,” or the “Commission”) adopted rules and rule amendments (the “PFA Rules”) under the Investment Advisers Act of 1940 (the “Advisers Act”) that...more
The SEC recently adopted new rules (the “Private Fund Rules”) that will require additional reporting requirements and impose restrictions on certain activities of investment advisers to private funds (“Private Funds”). While...more
This RIA Regulatory Review highlights certain key regulatory developments affecting investment advisers. Please contact us with any questions on the topics covered below. The SEC Adopts Significant New Rules for Private...more
On September 20, 2023, the Securities and Exchange Commission (“SEC”) adopted amendments to Rule 35d-1[1] (the “Names Rule”) under the Investment Company Act of 1940, as amended (“1940 Act”), as well as amendments to certain...more
On August 23, 2023, the Securities and Exchange Commission (the “SEC”) adopted new rules and rule amendments (collectively, the “Rules”) under the Investment Advisers Act of 1940, as amended (the “Investment Advisers Act”)...more
On August 23, 2023, a divided Securities and Exchange Commission (SEC) adopted far-reaching new rules and rule amendments under the Investment Advisers Act of 1940, as amended (Advisers Act). While the final rules are not as...more
On August 23, 2023, in its efforts to promote transparency for investors by increasing visibility into compensation schemes, sales practices, and conflicts of interest, the US Securities and Exchange Commission (SEC) adopted...more
On February 9, 2022, the Securities and Exchange Commission (“SEC”) proposed new rules under the Investment Advisers Act of 1940 regarding the regulation of private funds.1 A private fund is an investment company, usually a...more
On August 23, 2023, the Securities and Exchange Commission (SEC) voted to adopt new rules and amendments under the Investment Advisers Act of 1940 (Advisers Act) to the regulation of private fund advisers (Final Rule). The...more
On August 23, 2023, the US Securities & Exchange Commission (SEC) adopted new and amended rules (the New Rules) under the Investment Advisers Act of 1940 (Advisers Act) that focus on the SEC’s desire to address what it views...more
On August 23, 2023, the U.S. Securities and Exchange Commission (“SEC” or “Commission”) finalized new rules and amendments under the Investment Advisers Act of 1940 (“Advisers Act”) to enhance the regulation of private fund...more
On August 23, 2023, the U.S. Securities and Exchange Commission (SEC) adopted new rules and amendments under the Investment Advisers Act of 1940. Although they have been watered down significantly from the version initially...more
On August 23, 2023, the U.S. Securities and Exchange Commission (“SEC”) adopted its highly anticipated new rules and amendments to existing rules under the Investment Advisers Act of 1940 (“Advisers Act”) impacting private...more
The SEC (U.S. Securities and Exchange Commission) has provided notice that it is preparing to adopt the so-called “Private Funds Rules” under the Investment Advisers Act of 1940 (the “Advisers Act”) on August 23, 2023....more
In a decision issued late last month, the U.S. Court of Appeals for the Second Circuit provided new guidance on the rules governing the U.S. Securities and Exchange Commission's ability to seek the remedy of disgorgement in...more
On June 8, 2023, the SEC Division of Examinations staff (EXAMS) published a risk alert focused on the new Marketing Rule (Rule 206(4)-1 under the Investment Advisers Act of 1940). While this new risk alert largely mirrors...more
On February 15, 2023, the Securities and Exchange Commission (SEC) proposed new rules and amendments (Proposal) to Rule 206(4)-2 (Custody Rule) under the Investment Advisers Act of 1940 (Advisers Act)....more
The Securities and Exchange Commission (SEC) has significantly revised and “modernized” the Investment Advisers Act regulatory framework governing investment adviser advertisements and payments to solicitors to address...more
The SEC staff has issued an FAQ related to amended Rule 206(4)-1 under the Investment Advisers Act (the “Marketing Rule”) clarifying that the net/gross rules apply to extracted performance that may consist of returns of...more