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SEC Adopts Modernized Investment Adviser Marketing Rule Governing Advertisements and Solicitation

USA - December 24 2020 On December 22, 2020, the U.S. Securities and Exchange Commission adopted rule and form amendments to modernize the regulatory framework governing...

Mark D. Perlow, Ashley N. Rodriguez, Brenden P.Carroll, Michael L. Sherman, Aaron D. Withrow.

SEC Proposes Conditional Registration Exemption for Finders

USA - October 15 2020 The Securities and Exchange Commission voted 3-2 on October 7, 2020 to publish for comment a proposed conditional exemption (Proposed Exemption)...

K. Susan Grafton, Tricia J. Lee, Elizabeth McClain, Monica R. Patel.

The Updated Accredited Investor and Qualified Institutional Buyer Definitions

USA - October 7 2020 The Securities and Exchange Commission on August 26, 2020 adopted amendments to the definition of "accredited investor" to: add new categories of...

Phillip Garber, Peter Yoon Choung, Tricia J. Lee, Kenneth Rasamny.

SEC Adopts Amendments to Update Accredited Investor and Qualified Institutional Buyer Definitions

USA - August 27 2020 The Securities and Exchange Commission on August 26, 2020 adopted amendments to the definition of "accredited investor" to: add new categories of...

Phillip Garber, Peter Yoon Choung, Tricia J. Lee, Kenneth Rasamny.

Federal Agencies Adopt Amendments to Volcker Rule

USA - July 20 2020 The Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System (Board), the Federal Deposit Insurance...

Matthew E. Barsamian, Christopher Desmond, Timothy Spangler, Cameron Mitcham, Matthew K. Kerfoot, David J. Harris, Matthew R. Hays, Michael L. Sherman, Robert J. Rhatigan.