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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, Christopher M Wells, Robert E Plaze, Robert G Leonard.

OCIE Issues Risk Alert on Common Deficiencies Observed in Adviser Compliance Programs

USA - December 14 2020 On November 19, 2020, the SEC’s Office of Compliance Inspections and Examinations published a risk alert providing an overview of notable compliance…

Anthony M Drenzek, Robert E Plaze, Robert G Leonard.

OCIE Issues Risk Alert on Common Deficiencies Observed in Adviser Compliance Programs

USA - December 3 2020 On November 19, 2020, the SEC published a risk alert providing an overview of notable compliance issues identified by the agency’s Office of…

Anthony M Drenzek, Robert E Plaze, Robert G Leonard.

SEC Proposes Conditional Exemption for Tier I and Tier II Finders in Private Capital Raising

USA - October 12 2020 On October 7, 2020, the SEC voted to propose a conditional exemption from federal broker registration for “finders” who assist issuers in raising…

Anthony M Drenzek, Benjamin J Catalano, Frank Zarb.

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, Christopher M Wells, Howard J Beber, Michael R Suppappola, Robert G Leonard, Weixiao Sun.