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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, Paul S. Schreiber

Updated: covid-19 compliance and legal considerations for asset managers

USA - April 7 2020 As the world responds to COVID-19, we have identified a wide variety of compliance and legal considerations for asset managers. We previously…

Russell D. Sacks, John (Sean) Finley, Azam H. Aziz, John Adams, Jay G. Baris, Lorna Xin Chen, Nathan J. Greene, Thomas M. Majewski, Jennifer D. Morton, Sean Murphy, Lona Nallengara, Nhung Pham, Paul S. Schreiber

Covid-19: compliance and legal considerations for asset managers

USA - March 18 2020 As the world responds to COVID-19, we have identified a number of compliance and legal considerations for asset managers. We summarize a select list…

Russell D. Sacks, John (Sean) Finley, Azam H. Aziz, John Adams, Jay G. Baris, Lorna Xin Chen, Nathan J. Greene, Thomas M. Majewski, Jennifer D. Morton, Sean Murphy, Nhung Pham, Paul S. Schreiber

A Summary: Changes to Exemptive Relief and Disclosure Requirements under the New ETF Rule

USA - November 26 2019 On September 26, 2019, the Securities and Exchange Commission (the SEC) adopted a final rule under the Investment Company Act of 1940 (the…

John Adams, Jay G. Baris, Lorna Xin Chen, Laura S. Friedrich, Nathan J. Greene, Matthew Kutner, Thomas M. Majewski, Sean Murphy, Paul S. Schreiber

SEC Proposes Solicitation Rule Amendments

USA - November 18 2019 On November 4, 2019, the U.S. Securities and Exchange Commission (SEC) proposed amendments to rules governing investment adviser advertisements and…

Russell D. Sacks, John (Sean) Finley, John Adams, Jay G. Baris, Lorna Xin Chen, Laura S. Friedrich, Nathan J. Greene, Leon Hirth, Thomas M. Majewski, Jennifer D. Morton, Sean Murphy, Paul S. Schreiber