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SEC Unanimously Approves New Investment Adviser Marketing Rule

USA - January 27 2021 On December 22, 2020, the U.S. Securities and Exchange Commission (“SEC” or “Commission”) unanimously adopted amended Rule 206(4…

Jonathan T. Ammons, Cole Beaubouef, Anna R. Easter, Christine A. Edwards, Basil V. Godellas, Jay B. Gould, Jacqueline P. Hu, Beth R. Kramer, Michael L. Loesch, Michael G. Wu

OCIE Identifies Common Compliance and Supervisory Deficiencies of Investment Advisers

USA - December 11 2020 The U.S. Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) recently released two risk alerts…

Jonathan T. Ammons, Cole Beaubouef, Basil V. Godellas, Jay B. Gould, Beth R. Kramer, Michael G. Wu

SEC Proposes Conditional Exemption for Small Business "Finders"

USA - October 19 2020 On October 7, 2020, a divided U.S. Securities and Exchange Commission (SEC) voted to propose a new limited, conditional exemption from the broker…

Jay B. Gould, Michael G. Wu

SEC Proposes Conditional Exemption for Small Business “Finders”

USA - October 19 2020 On October 7, 2020, a divided U.S. Securities and Exchange Commission (SEC) voted to propose a new limited, conditional exemption from the broker…

Jay B. Gould, Michael G. Wu

CFTC Finally Finalizes Expansion to Position Limits Regime

USA - October 15 2020 Today, the Commodity Futures Trading Commission (the "CFTC") finalized long-awaited amendments to its position limits rules in a 3…

Jonathan T. Ammons, Michael L. Loesch