SEC: Rulemaking

A revised form would require the disclosure of the compensation paid to investment advisers

IAs and B-Ds would have to have “sufficient information to evaluate an Offeree’s financial circumstances and sophistication

Industry comments signal an organized campaign to deluge the SEC and steer the regulator away from going through with proscribed compliance due diligence steps

The changes bring the act in line with the RBIC Advisers Relief Act of 2018

We are proposing to modernize and simplify the Securities Act integration framework for registered and exempt offerings

Testimonials “will lead to a race to the bottom - once the market is opened to these types of endorsements, investor confusion will increase dramatically"

SEC Chairman Jay Clayton has told advocates that he is open to shortening the seven-day delay written into a proposed proxy advisor rule (RCW, Nov. ...

Certain fund practices can heighten leverage-related risks, such as the risk of potentially significant losses and increased fund volatility

The proposal would expand the list of entities that may qualify as accredited investors

We are also proposing to clarify that an investment company or an investment adviser or sponsor is under an audit, the auditor and the audit ...