Article
05 Aug 2025
FinCEN To Postpone Effective Date And Reopen Anti-Money Laundering Rule For Investment Advisers
RANKINGS
This author falls within the Top 20% for their listed topics and industry categories. Based on Mondaq users readership, this author is ranked as VERY POPULAR in United States
AUTHORS CONTENT
Article
27 Mar 2025
SEC Backtracks On Net Performance Requirements In New Marketing Rule FAQs
Article
26 Mar 2025
New SEC No-Action Letter Eases Burden On General Solicitations
Article
07 Nov 2024
2025 SEC Exam Priorities For Investment Advisers And Registered Investment Companies
Article
19 Sep 2024
SEC Sends Additional Message To Registered Investment Advisers On Marketing Rule Obligations Through Enforcement Actions
Article
14 Aug 2024
Minnesota Governor Tim Walz's National Candidacy Raises Significant Pay-to-Play Rule Considerations For Certain Investment Advisers
Article
10 Jun 2024
Fifth Circuit Vacates The Private Funds Rules And Constrains The SEC's Rulemaking Authority
Article
25 Apr 2024
The SEC Amends The Internet Adviser Exemption
Article
16 Feb 2024
SEC Issues Updated Marketing Rule FAQ On IRRs For Funds With Subscription Facilities
Article
24 Nov 2023
SEC Announces An Increase In Total Enforcement Actions In FY 2023, With Close To $5 Billion In Financial Penalties, The Second Highest Amount In SEC History
Article
27 Oct 2023
SEC EXAMS Division Announces 2024 Priorities Ahead Of Schedule
Article
22 Sep 2023
SEC Sends Second Message To Private-Fund Sponsors On Audit Obligations Under Custody Rule Through Enforcement Actions
Article
22 Sep 2023
SEC Marketing Rule Enforcement Actions Emphasize Need For Policies And Procedures Regarding The Use Of Hypothetical Performance
Article
14 Sep 2023
SEC's Division Of Examinations Sheds Light Regarding Exam Selection And Scoping
Article
25 Aug 2023
SEC Announces The First Enforcement Action Under The New Marketing Rule
Article
24 Aug 2023
SEC Adopts Expansive (Albeit Slightly Softened) Private Funds Rules
Article
16 Jun 2023
SEC Announces Focus Areas For Next Stage Of Marketing Rule Exams
Article
10 May 2023
New Form PF Current And Quarterly Event Reporting And Expanded Large Private Equity Fund Adviser Reporting Adopted By SEC
Article
21 Feb 2023
SEC Proposes Radical Transformation Of Custody Rule Into New Safeguarding Rule
Article
10 Feb 2023
Private Fund Sponsors Remain In Spotlight Of The SEC's Examination Priorities