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Publication of Sweeping Changes to SEC Marketing Rule Sets Effective and Compliance Dates

USA - March 8 2021 On March 5, 2021, the SEC release adopting broad changes to rule 206(4)-1 under the U.S. Investment Advisers Act of 1940 was published in the federal…

Anthony M Drenzek, Michael F Mavrides, Robert E Plaze, Robert G Leonard.

When One Size Doesn’t Fit All: Hybrid Fund Solutions for Alternative Asset Managers

USA - February 11 2021 Hybrid fund structures, which can combine elements of both open-ended Hedge Funds and closed-end private equity funds, have become increasingly…

SEC Revises Marketing Rule for Registered Investment Advisers

USA - February 9 2021 On December 22, 2020, the Securities and Exchange Commission (“SEC”) adopted amendments to existing Rule 206(4)-1 (the “Advertising Rule”) and…

Anthony M Drenzek, Michael R Suppappola, Robert E Plaze.

BE-180 Deadline Approaching for Certain Fund Managers

USA - September 24 2020 The BE-180 report issued by the U.S. Commerce Department’s Bureau of Economic Analysis (the “BEA”) is a five-year Benchmark Survey that…

Anthony M Drenzek, Howard J Beber, Michael F Mavrides, Michael R Suppappola, Robert G Leonard, Weixiao Sun.

SEC Proposes Increasing the 13F Threshold to $3.5 billion

USA - July 13 2020 On July 10, 2020, the Securities and Exchange Commission (“SEC”) proposed significantly increasing the reporting threshold requiring the filing of a…

Frank Zarb, Louis Rambo, Michael F Mavrides, Robert E Plaze, Robert G Leonard.