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SEC Proposes to Increase Regulation of Private Investment Fund Advisers

USA - February 10 2022 On February 9, 2022, the SEC proposed new and amended rules under the Investment Advisers Act of 1940 (“Advisers Act”) aimed at promoting…

Erin Reeves McGinnis, Brian Russ, Wes Scott

Recommendations from the OCIE Regarding COVID-19 Related Compliance Risks and Considerations

USA - September 8 2020 The Office of Compliance Inspections and Examinations (the “OCIE”) of the U.S. Securities and Exchange Commission (the “SEC”) published a risk alert…

Michael E. Hollingsworth II, Adam Marshall

Form CRS for Investment Advisers, Broker-Dealers, and Dually-Registered Firms Due June 30 Summarized

USA - June 15 2020 The U.S. Securities and Exchange Commission (the "SEC") has adopted Form CRS and related rules under the Investment Advisers Act of 1940 (the…

Adam Marshall

Tax Report - Qualified Opportunity Zones: Final Regulations Released

USA - January 9 2020 On December 19, 2019, the United States Treasury Department (“Treasury”) issued final regulations (the “Final Regulations”) under Section 1400Z of the…

Sabrina Conyers, Samantha D'Angelo, Chip Gray, Drew Hermiller, Maurice D. Holloway, C. Wells Hall, III, Gene Crick Jr., Erin Reeves McGinnis, William S. Richmond

SEC Proposes to Amend Accredited Investor and QIB Definitions

USA - December 26 2019 On December 18, 2019, the SEC proposed amendments to the definitions of both “accredited investor” (under Regulation D) and “qualified institutional…

Gary M. Brown, Erin Reeves McGinnis