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Willkie Farr & Gallagher LLP | USA | 22 Nov 2022

SEC Adopts Modernization of Disclosure Framework for Mutual Funds and ETFs and Advertising Rules for Investment Companies

On October 26, 2022, the Securities and Exchange Commission (the "SEC") adopted rule and form amendments (the "Amendments") intended to modernize the…
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Kurtin PLLC | USA | 5 Sep 2022

Raising Capital through Private Placements: Deal Points (September 2022)

Rule 506 has no aggregate offering price limitation; if the other requirements of the Rule are met, an unlimited dollar amount of securities may be…
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Kurtin PLLC | USA | 5 Sep 2022

Raising Capital through Private Placements Exemption Chart (September 2022)

This is the Appendix 1 Securities Act Exemption Chart from our “Raising Capital through Private Placements: Deal Points” advisory, September 2…
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Kurtin PLLC | USA | 6 Jun 2022

SEC Proposes Fund Names Rule Changes

On May 25, 2022, the U.S. Securities and Exchange Commission ("SEC") proposed rule changes to the Investment Company Act of 1940 ("ICA") to prevent…
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Ropes & Gray LLP | USA | 26 May 2022

SEC Settles First Enforcement Action Against Mutual Fund Adviser Challenging Funds’ ESG Disclosure

The Securities and Exchange Commission ("SEC") announced (here) settled cease and desist charges and a $1.5 million penalty against a mutual fund…
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Kurtin PLLC | USA | 28 Apr 2022

Raising Capital through Private Placements Exemption Chart (April 2022 Update)

This is the Appendix 1 Securities Act Exemption Chart from our "Raising Capital through Private Placements: Deal Points" advisory, April 2022 in…
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Kurtin PLLC | USA | 28 Apr 2022

Raising Capital through Private Placements: Deal Points (April 2022 Update)

Any attempt to raise capital by the offer and sale of securities in the U.S. market must be made with a publicly filed registration statement…
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Bryan Cave Leighton Paisner LLP | USA | 1 Apr 2022

Is the party over? SEC proposes substantial new requirements for SPACs and de-SPAC transactions

On March 30, 2022, the SEC approved by a 3-1 vote a proposal to effect significant changes to disclosure and liability rules governing SPACs…
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Bryan Cave Leighton Paisner LLP | USA | 24 Feb 2022

Marketing Non-US Private Funds to US Investors

The U.S. Securities Act of 1933 (the “Securities Act”) requires every offer and sale of securities made using U.S. means of interstate commerce to be…
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Fredrikson & Byron PA | USA | 18 Feb 2022

SEC Proposes New Cybersecurity Risk Management Rules for Advisers and Funds

Last week, the Securities and Exchange Commission (SEC) voted to propose new rules applicable to registered investment advisers and investment…
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