SEC Rules and Regulations
SEC Proposes Extension of Temporary Rule 206(3)-3T Regarding Principal Transactions with Certain Advisory Clients
Industry Update
SEC Announces Presence...
SEC Rules and Regulations
SEC Grants No-Action Relief to Exclude Tax Blocker from Definition of Investment Company
SEC Grants No-Action Relief from Surprise Examinations to Investmen...
SEC Rules and Regulations
SEC Issues Proposal to Eliminate General Solicitation Ban
SEC Staff Responds to a Question About Preserving Client Anonymity on Item 7.B. of Form ADV
Indu...
On August 29, 2012, the Securities and Exchange Commission (“SEC”) issued a proposal to permit widespread advertising and other forms of “general solicitation” in private offering...
On July 19, 2012, the Division of Investment Management of the Securities and Exchange Commission (the “SEC”) issued additional responses (the “Responses”) to frequently asked que...
On July 10, 2012, the U.S. Commodity Futures Trading Commission (the “CFTC”) issued a no-action letter that will extend until December 31, 2012 relief from registration as a commodity...
On June 8, 2012 and June 29, 2012, the Division of Investment Management of the Securities and Exchange Commission (the “SEC”) issued responses (the “Responses”) to frequently ask...
On June 8, 2012, the Division of Investment Management of the Securities and Exchange Commission (the “SEC”) issued responses (the “Responses”) to two questions regarding reportin...
On April 11, 2012, prior to proposing rules that are required to implement certain aspects of the Jumpstart Our Business Startups Act (the “JOBS Act”), the Securities and Exchange Com...
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...
