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The SEC’s overhaul of the investment adviser advertising and solicitation rules: The impact on private fund advisers

USA - February 10 2021 A key aspect of the new marketing rule is that it now specifically includes within its scope communications to prospective investors in private funds…

Michael B. Koffler.

Digital asset securities: broker-dealer custody issues

USA - January 12 2021 As 2020 came to a close, the issue of how digital asset securities can be custodied by US broker-dealers became clearer, at least from a regulatory…

Alexa R. Shockley, Ben Marzouk, Bria M. Adams, Clifford E. Kirsch, Cynthia R. Beyea, Eric A. Arnold, Holly H. Smith, James M. Cain, John H. Walsh, Michael B. Koffler, Susan S. Krawczyk.

Advisers Act Regulatory Series: 2020 Fourth Quarter Update

USA - December 10 2020 Join Eversheds Sutherland attorneys Clifford Kirsch, Michael Koffler, Carol McClarnon, John Walsh, Issa Hanna and Bria Adams for the latest in our…

Bria M. Adams, Carol T. McClarnon, Clifford E. Kirsch, John H. Walsh, Michael B. Koffler.

SEC proposes exempting certain finders from broker registration

USA - October 29 2020 On October 7, 2020, the US Securities and Exchange Commission (SEC) proposed granting exemptive relief from the broker registration…

Alexa R. Shockley, Michael B. Koffler, Susan S. Krawczyk.

DOL's fiduciary proposal 3.0 - what financial institutions should be considering now

USA - September 1 2020 In June, the DOL released version 3.0 of its fiduciary proposal, which formally reinstated the investment advice fiduciary definition in effect since…

Caitlin G. Naylor, Carol T. McClarnon, W. Mark Smith.