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SEC relief for advisers impacted by COVID-19

USA - March 16 2020 On March 13, 2020, the Securities and Exchange Commission (SEC) issued a temporary order (the Order)1 providing conditional exemptive relief to…

Alexa R. Shockley, Ben Marzouk, Bria M. Adams, Eric A. Arnold, Holly H. Smith, Issa J. Hanna, John H. Walsh, Michael B. Koffler, Pooja Kohli, Susan S. Krawczyk.

Videocast: Asset management regulation in 2020 videocast series - The SEC’s proposed accredited investor definition

USA - February 27 2020 Investor access to private funds is expanded under the SEC’s proposed rule amending the “accredited investor” definition. In this Bottom Line…

Michael J. Voynich.

SEC warns investors about initial exchange offerings

USA - February 18 2020 Recently, the U.S. Securities and Exchange Commission (SEC) issued an Investor Alert (the Alert) warning investors to use caution before investing in…

Alexa R. Shockley, Ben Marzouk, Bria M. Adams, Clifford E. Kirsch, Eric A. Arnold, Holly H. Smith, Issa J. Hanna, John H. Walsh, Michael B. Koffler, Pooja Kohli, Susan S. Krawczyk.

Federal agencies clarify SAR filing requirements for financial services provided to hemp-related businesses

USA - December 12 2019 On December 3, 2019, four federal agencies, in consultation with state banking regulators, clarified the legal status of hemp growth and production…

Ben Marzouk, Bria M. Adams, Clifford E. Kirsch, Eric A. Arnold, Gregory S. Kaufman, Holly H. Smith, Issa J. Hanna, John H. Walsh, Meghana D. Shah, Michael B. Koffler, Susan S. Krawczyk.

Regulation Best Interest videocast series - Account monitoring post-Regulation Best Interest

USA - November 4 2019 Recent SEC rulemaking and guidance heightened retail broker-dealer and investment adviser investment recommendation and advice standards and created…

Michael B. Koffler.