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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.

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…

Christopher M Wells, Frank Zarb, Louis Rambo, Robert E Plaze, Robert G Leonard.

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, Christopher M Wells, Robert G Leonard.

OCIE Publishes Cybersecurity and Resiliency Observations

USA - February 6 2020 On January 27, 2020, the U.S. Securities and Exchange Commission's Office of Compliance Inspections and Examinations ("OCIE") published its…

Christopher M Wells, Evan J. Zepfel, Robert G Leonard.