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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, Robert E Plaze, Michael R Suppappola

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…

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

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…

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

NFA Provides Relief to Permit CTAs to Present Gross Past Performance to ECPs; CFTC Proposes Updates to Form CPO-PQR

USA - May 11 2020 In April, the National Futures Association (NFA) provided relief to permit commodity trading advisors (CTAs) who are also registered as investment…

Evan J. Zepfel

OCIE Issues Risk Alert in Connection with Upcoming Deadline for New Form CRS

USA - April 10 2020 On April 7, 2020, the Securities and Exchange Commission's (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a risk alert in…

Anthony M Drenzek, Robert G Leonard, Michael F Mavrides