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The Bottom Line of Complying with the SEC’s Q New Marketing Rule

USA - October 14 2022 In the late fall of 2020, the SEC implemented rule amendments which created a single rule, the Marketing Rule, that replaces the current Advertising…

Nicholas C. Noon, Robert E Plaze

The Bottom Line of Complying with the SEC’s Q New Marketing Rule

USA - October 14 2022 In the late fall of 2020, the SEC implemented rule amendments which created a single rule, the Marketing Rule, that replaces the current Advertising…

Nicholas C. Noon, Robert E Plaze

SEC Issues Risk Alert Announcing Exams Focused on New Marketing Rule

USA - September 22 2022 On Monday, September 19, 2022, the SEC's Division of Examinations issued a Risk Alert announcing their intent to conduct targeted reviews of…

Mark S. Audet, Robert E Plaze

SEC proposes ESG reporting and disclosure requirements for private fund advisers

USA - June 13 2022 On May 25, the Securities and Exchange Commission (“SEC”) issued proposed rules under the Investment Advisers Act of 1940 (“Advisers Act”) for…

Mark S. Audet, Robert E Plaze

SEC reopens comment period for proposed private fund adviser rules

USA - May 10 2022 Yesterday, the U.S. Securities and Exchange Commission (“SEC”) announced that it will reopen the public comment period on its proposed rules relating…

Howard J Beber, Michael F Mavrides, Robert E Plaze