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EXAMS Publishes Risk Alert Regarding Examinations Focused on the New Investment Adviser Marketing Rule

USA - September 20 2022 On September 19, 2022, the Securities and Exchange Commission Division of Examinations (“EXAMS”) published a Risk Alert (the “Risk Alert”) to inform…

Philip Heimowitz, Joanna D. Rosenberg

SEC and CFTC Propose Additional Amendments to Form PF

USA - August 18 2022 On August 10, 2022, the Securities and Exchange Commission (“SEC”) and Commodity Futures Trading Commission (“CFTC”) proposed additional amendments…

Conor Almquist, Philip Heimowitz, Mark Highman

SEC Proposes Sweeping New Rules and Amendments to Existing Rules Applicable to Private Fund Advisers

USA - February 10 2022 On February 9, 2022, the Securities and Exchange Commission ("SEC") voted 3-1 in favor of proposed new rules and rule amendments (the "Proposal")…

Joanna D. Rosenberg, Stacey Song

SEC Proposes Amendments to Form PF; Division of EXAMS Publishes Observations from Examinations of Private Fund Advisers

USA - January 31 2022 To Our Clients and Friends Memorandum January 31, 2022 SEC Proposes Amendments to Form PF; Division of EXAMS Publishes Observations from Examinations…

Joanna D. Rosenberg, Stacey Song

SEC Adopts Revised Investment Adviser Marketing Rule

USA - January 14 2021 On December 22, 2020, the Securities and Exchange Commission (the "SEC") adopted amendments to modernize and consolidate Rule 206(4)-1 ("Advertising…

Joanna D. Rosenberg, Stacey Song