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SEC’s division of examinations issues risk alert regarding mnpi-related compliance issues for investment advisers

USA - May 2 2022 On April 26, 2022, the Division of Examinations (the “Division”) of the Securities and Exchange Commission issued a Risk Alert listing notable…

Ann Marie Cowdrey, Adam S. Hakki, Mark D. Lanpher, Christopher L. LaVigne, Thomas M. Majewski, John A. Nathanson, Sara N. Raisner, Patrick D. Robbins, Michael D. Saarinen, Adam B. Schwartz, Katherine J. Stoller

SEC proposes to increase form 13f reporting threshold

USA - July 16 2020 Proposed Amendments to Form 13F Would Increase the Reporting Threshold from $100 Million to $3.5 Billion, Among Other Changes On July 10, 2020, the U…

Russell D. Sacks, John (Sean) Finley, Steven Blau, Ann Marie Cowdrey, Catharine Hansard, Jenny Ding Jordan, Daniel Lewis, Thomas M. Majewski, Jennifer D. Morton, Sean Murphy, Lona Nallengara, Nhung Pham, Emily Semands Poulsen, Taylor Pugliese, Ted Randolph

SEC issues risk alert identifying deficiencies of private fund advisers

USA - June 26 2020 On June 23, 2020, the U.S. Securities and Exchange Commission (the SEC) Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert…

John (Sean) Finley, Ann Marie Cowdrey, Catharine Hansard, Thomas M. Majewski, Emily Semands Poulsen

SEC proposes rule for funds in making good-faith fair value determinations

USA - June 17 2020 On April 21, 2020, the U.S. Securities Commission (the “SEC”) proposed a new rule under the Investment Company Act of 1940 (the “1940 Act”) to govern…

Thomas M. Majewski

SEC extends securities offering reforms to closed-end funds and Business Development Companies

USA - May 27 2020 On April 8, 2020, the Securities and Exchange Commission (SEC), adopted amendments[1] that would allow business development companies (BDCs) and…

Russell D. Sacks, J. Matthew Lyons, John (Sean) Finley, Richard B. Alsop, Christopher Forrester, Harald Halbhuber, Thomas M. Majewski, Jennifer D. Morton, Lona Nallengara