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On December 4, 2013, the Division of Corporate Finance of the Securities and Exchange Commission (the “SEC”) issued Compliance and Disclosure Interpretations (“C&DIs”) regarding t...
SEC Rules and Regulations
IM Guidance Update Clarifies Stance on Aggregating the Investments of Certain Investors Across Funds to Satisfy Qualified Client Standard
SEC Extends No-Acti...
SEC Rules and Regulations
SEC Focused on Violations of Rule 105 of Regulation M
IM Director Discusses Current Priorities Regarding Hedge Fund Managers
SEC Staff Provides Guidance to ...
SEC Rules and Regulations
SEC Staff Responds to Questions About Form PF
SEC, FINRA and CFTC Release Joint Observations Regarding Business Continuity Plans
SEC Staff Expands Relief fo...
On August 13, 2013, the Commodity Futures Trading Commission (“CFTC”) adopted final regulations designed to harmonize the obligations of registered commodity pool operators (“CPOs?...
SEC Rules and Regulations
SEC Grants No-Action Relief to Allow Registered Investment Companies to Maintain Assets with CME to Meet Margin Requirements for Additional Swaps Cleared by C...
On July 10, 2013, the SEC adopted amendments to the Regulation D and Rule 144A private-placement safe harbors, which will eliminate the prohibition on widespread advertising and other for...
SEC Rules and Regulations
SEC Adopts Rules to Eliminate General Solicitation Ban and Proposes other Private Offering Reforms Mandated by JOBS Act
SEC Grants No-Action Relief to Advis...
Today the SEC adopted amendments to its private offering safe harbors as mandated by the JOBS Act of 2012. These amendments to Rule 506 and Rule 144A under the Securities Act of 1933 will...