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SEC approves amendments to FINRA Rule 5123: private placements of securities
- Paul, Weiss, Rifkind, Wharton & Garrison LLP
- -
- USA
- -
- June 12 2012
On June 7, 2012, the SEC approved amendments to FINRA Rule 5123 on an accelerated basis
SEC publishes FAQs on Form PF
- Paul, Weiss, Rifkind, Wharton & Garrison LLP
- -
- USA
- -
- June 12 2012
On June 8, 2012, the SEC published responses to frequently asked questions relating to Form PF
SEC extends date for investment advisers to comply with ban on third-party solicitation
- Paul, Weiss, Rifkind, Wharton & Garrison LLP
- -
- 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
Amending your Form ADV including an interactive compilation of Form ADV
- Paul, Weiss, Rifkind, Wharton & Garrison LLP
- -
- 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
Succession and sustainability in the investment management industry
- Paul, Weiss, Rifkind, Wharton & Garrison LLP
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- USA
- -
- March 5 2012
Click here to view the full video
European Parliament votes to ban “naked” credit default swaps on sovereign debt and restrict “naked” short sales
- Paul, Weiss, Rifkind, Wharton & Garrison LLP
- -
- European Union
- -
- November 28 2011
On November 15, 2011, the European Parliament adopted a regulation banning any person or legal entity in the European Union (“EU entities”) from entering into “naked,” or uncovered, credit default swaps (“CDS”) on sovereign debt and restricting uncovered short sales on shares and sovereign debt (the “Regulation”) after November 1, 2012
Summary of the proposed rule implementing the Volcker Rule
- Paul, Weiss, Rifkind, Wharton & Garrison LLP
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- USA
- -
- November 1 2011
On October 11 and October 12, 2011, the Board of Governors of the Federal Reserve System (the “Board”), the Federal Deposit Insurance Corporation (the “FDIC”), the Office of the Comptroller of the Currency and the Securities and Exchange Commission (the “SEC”) issued a notice of proposed rulemaking and request for comments (the “Proposed Rule”) implementing Section 619 of the Dodd-Frank Act, also known as the “Volcker Rule.”
SEC adopts final definition of “family offices”
- Paul, Weiss, Rifkind, Wharton & Garrison LLP
- -
- USA
- -
- July 6 2011
On June 22, 2011, the U.S. Securities and Exchange Commission (the “SEC”) adopted a final rule under the Investment Advisers Act of 1940, as amended (the “Advisers Act”) under which family offices will be excluded from the definition of an investment adviser, and thus, will not be required to register under the Advisers Act
SEC proposes new rules to implement advisers act provisions of the Dodd-Frank Act implications for U.S. advisers
- Paul, Weiss, Rifkind, Wharton & Garrison LLP
- -
- USA
- -
- December 21 2010
On November 19, 2010, the SEC proposed new rules and rule amendments under the Investment Advisers Act of 1940 that are designed to give effect to the provision of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act and, among other things: (i) clarify the eligibility requirements for registration of investment advisers with the SEC and the transition process to state registration; (ii) address registration of investment advisers to hedge funds and other private funds with the SEC; (iii) amend Form ADV to require disclosure of more information by investment advisers and the private funds they manage; (iv) implement the Dodd-Frank Act's mandate to require reporting by certain "exempt reporting advisers;" (v) define "venture capital fund" for purposes of the exemption to SEC registration for investment advisers solely advising venture capital funds; (vi) provide clarity with respect to the exemptions to SEC registration for investment advisers solely advising private funds and with aggregate regulatory assets under management of less than $150 million and "foreign private advisers;" and (vii) revise the SEC's recently promulgated "pay-to-play" rule
Delaware LLLPs: a viable option for private investment funds?
- Paul, Weiss, Rifkind, Wharton & Garrison LLP
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- USA
- -
- August 19 2010
Historically, private investment funds (such as onshore hedge funds and private equity funds) have relied on the limited partnership as the primary organizational form of choice, despite the existence of a number of different organizational forms through which a private investment fund could, in theory, conduct its activities
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