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Results: 1-10 of 140

Registered investment advisers and “exempt reporting advisers” (where indicated)

  • Lowenstein Sandler PC
  • -
  • USA
  • -
  • January 15 2013

Prepare annual updating amendments to Form ADV (for registered investment advisers and Exempt Reporting Advisers). Comply with state annual filing

Compliance Checklists

  • Lowenstein Sandler PC
  • -
  • USA
  • -
  • January 15 2013

Conduct periodic review of compliance policies; Providecollect new issues certifications from brokers regarding whether funds investors are

The European Union’s Alternative Investment Fund Managers Directive (“AIFMD”) to be implemented by July 2013

  • Lowenstein Sandler PC
  • -
  • European Union
  • -
  • January 15 2013

On December 19, 2012, the European Commission released its Level 2 regulations for the implementation of AIFMD. AIFMD introduces a broad regulatory

SEC issues no-action letter interpretive guidance regarding “umbrella registrations” of related entities

  • Lowenstein Sandler PC
  • -
  • USA
  • -
  • January 15 2013

On January 18, 2012, the SEC issued a no-action letter (the "2012 Staff Letter") providing interpretive guidance with respect to the registration of

Dodd-Frank final derivatives product definition rules; certain swaps transactions now considered “commodity interests” transactions

  • Lowenstein Sandler PC
  • -
  • USA
  • -
  • January 15 2013

On July 18, 2012, the CFTC and SEC jointly released final derivatives product definition rules (the "Derivatives Rules") which represent a first step

Jumpstart Our Business Startups (JOBS) Act and general solicitations

  • Lowenstein Sandler PC
  • -
  • USA
  • -
  • January 15 2013

The JOBS Act is an amalgam of various provisions intended to stimulate the economy, including amending Rule 506 of Regulation D under the Securities

SEC proposes new rule to eliminate ban on general solicitation

  • Lowenstein Sandler PC
  • -
  • USA
  • -
  • August 29 2012

With only one dissenting vote, the commissioners of the Securities and Exchange Commission (“SEC”) voted at a meeting this morning to adopt a proposed rule that would eliminate the current prohibition against general solicitation and general advertising in securities offerings conducted under the Securities Act of 1933 (the “Securities Act”) pursuant to Rule 506 of Regulation D and Rule 144A (“Rule 144A”

SEC issues FAQs on analyst participation provisions of the JOBS Act

  • Lowenstein Sandler PC
  • -
  • USA
  • -
  • August 24 2012

On Wednesday, the SEC's Division of Trading and Markets (the "Staff") issued FAQs containing the Staff's guidance on certain provisions of the JOBS Act as they affect investmentbanking firms and their obligations with respect to analyst communications and research reports

When non-recourse isn’t really non-recourse at all: the Cherryland decision full recourse enforcement of a non-recourse loan

  • Lowenstein Sandler PC
  • -
  • USA
  • -
  • July 2 2012

The Michigan Court of Appeals recently decided a case that has garnered the attention of lenders, real estate owners, and developers nationwide

FBAR filing deadline is fast approaching

  • Lowenstein Sandler PC
  • -
  • USA
  • -
  • June 13 2012

As we have previously advised, federal law requires that any U.S. person or entity with a financial interest in, or signature or comparable authority over, any foreign financial account file an annual Report of Foreign Bank and Financial Accounts, Form TD F 90-22.1

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