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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, Jacqueline P. Hu, Beth R. Kramer, Michael L. Loesch, Halima A. Nguyen, 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, Beth R. Kramer, Halima A. Nguyen, 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…

Halima A. Nguyen, 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…

Halima A. Nguyen, Michael G. Wu

Reminder: Electronic Submissions of Form BE-180 Filing Due October 30, 2020

USA - October 14 2020 Every five years, the U.S. Department of Commerce Bureau of Economic Analysis (BEA) conducts a Benchmark Survey of Financial Services Transactions…

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