SEC Rules and Regulations
SEC Staff Responds to Form ADV Questions Regarding Exempt Adviser Reporting and Financial Industry Affiliations
SEC Staff Issues Guidance on Issues of Intere...
By a vote of 380 to 41, the House of Representatives today passed the Jumpstart Our Business Startups (“JOBS”) Act, without further amendment. The JOBS Act will now be sent to Preside...
Yesterday, by a vote of 73 to 26, the U.S. Senate passed the Jumpstart Our Business Startups Act, which was approved by the U.S. House of Representatives on March 8, 2012, but voted to am...
On February 15, 2012, the Securities and Exchange Commission (the “SEC”) issued a final rule release (the “Release”) adopting amendments (the “Amendments”) to Rule 205-3 under...
On February 9, 2012, the Commodity Futures Trading Commission (the “CFTC”) adopted final rule amendments (the “Final Rules”) relating to the registration of commodity pool operato...
On January 19, 2012, the staff of the SEC’s Division of Investment Management released responses (“Responses”) to frequently asked questions about Rule 202(a)(11)(G)-1, the so-calle...
SEC Rules and Regulations
SEC Amends Net Worth Standard for Individual Accredited Investors
SEC Schapiro Seeks Authority to Impose Larger Penalties for Securities Law Violations
In...
Industry Update
Treasury Department To Develop Anti-Money Laundering Rules for Investment Advisers
Proposed Treasury Regulations Clarify U.S. Taxation of Investments by Foreign Gov...
SEC Rules and Regulations
SEC Adopts Private Fund Systemic Risk Reporting Rule
SEC Proposes Rules on the Registration of Security-Based Swap Dealers and Major Security-Based Swap P...
On October 26, 2011, the Securities and Exchange Commission (the “SEC”) voted unanimously to adopt a new rule under the U.S. Investment Advisers Act of 1940 (the “Advisers Act”) t...
