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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

SEC Adopts Rules to Modernize and Streamline Exempt Offerings

USA - November 9 2020 On November 2, 2020, the Securities and Exchange Commission (the "SEC") adopted amendments (the "Amendments") to certain rules under the Securities…

Jonathan S. Adler, Joanna D. Rosenberg, Stacey Song

SEC Expands Definition of "Accredited Investor"

USA - August 27 2020 On August 26, 2020, the Securities and Exchange Commission (the "SEC") adopted amendments to the definition of "accredited investor" in Rule 501(a) of…

Jonathan S. Adler, Joanna D. Rosenberg, Stacey Song

OCIE Publishes Risk Alert Regarding COVID19-Related Compliance Risks and Considerations

USA - August 13 2020 On August 12, 2020, the Office of Compliance Inspections and Examinations ("OCIE") of the Securities and Exchange Commission ("SEC") published a risk…

Joanna D. Rosenberg, Stacey Song

OCIE Publishes Risk Alert Regarding Private Fund Advisers

USA - June 24 2020 On June 23, 2020, the Office of Compliance Inspections and Examinations ("OCIE") of the Securities and Exchange Commission ("SEC") published a risk…

Joanna D. Rosenberg, Stacey Song