Kay A. Gordon
Nelson Mullins Riley & Scarborough LLP
Articles
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…
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…
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…
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…
