SEC extends date for investment advisers to comply with ban on third-party solicitation *

USA - June 12 2012
On June 8, 2012, the SEC issued a final rule extending the date by which investment advisers must comply with the ban on third-party solicitation set forth in Rule 206(4)-5(a)(2) under the Investment Advisers Act, the “pay to play” rule.

Co-authors: Karen J. Hughes , Udi Grofman .

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SEC approves amendments to FINRA Rule 5123: private placements of securities *

USA - June 12 2012
On June 7, 2012, the SEC approved amendments to FINRA Rule 5123 on an accelerated basis.

Co-authors: Karen J. Hughes , Udi Grofman .

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SEC publishes FAQs on Form PF *

USA - June 12 2012
On June 8, 2012, the SEC published responses to frequently asked questions relating to Form PF.

Co-authors: Karen J. Hughes , Udi Grofman .

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Amending your Form ADV including an interactive compilation of Form ADV *

USA - March 9 2012
As an investment adviser registered with the SEC, you will be required to amend your Form ADV from time to time.

Co-authors: Jaclyn L. Rabin, Philip Heimowitz , Udi Grofman .

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Succession and sustainability in the investment management industry *

USA - March 5 2012
Click here to view the full video.

Co-authors: Udi Grofman .

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