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Dual registrant regulatory roundup - June 2024 | JD Supra
JD Supra· 11 hours agoEach month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators ...
5th Circuit Strikes Down Private Fund Adviser Rules | JD Supra
JD Supra· 11 hours agoOn June 5, 2024, The United States Court of Appeals for the Fifth Circuit (Fifth Circuit) vacated new rules applicable to advisers to private funds1...
Fifth Circuit Rules SEC Exceeded Its Authority in Adopting Private Fund Advisers Rule
The National Law Review· 3 hours ago...Advisers Rule” (or the Rule) and, accordingly, vacated the Rule in full.[1] The Court’s interpretation of the SEC’s rule-making authority over private fund sponsors under Section 206(4) and 211(h) of the Investment Advisers Act of 1940 (the Advisers Act) and the Dodd-Frank Wall Street and...
JD Supra: Proskauer's Hedge Start: When Is SEC Registration Necessary?
JD Supra· 1 day agoSecutiries and Exchange Commission (SEC) under the Investment Advisers Act of 1940, as amended (Advisers Act), will be required. In general, an investment
New SEC Data Breach Rules for Investment Advisers, Broker Dealers and Investment Companies | JD...
JD Supra· 1 day agoS-P governs the use of personal information by certain financial institutions and historically required broker dealers, investment companies and registered
SEC, FinCEN Propose CIP Rules for Investment Advisers | JD Supra
JD Supra· 2 days agoThe Proposed Rule would require registered investment advisers (RIAs) and exempt reporting advisers (ERAs) to establish, document and maintain written customer ...
JD Supra: SEC Settles with Five Investment Advisers for Marketing Rule Violations
JD Supra· 7 days agoThe SEC recently settled charges against five registered investment advisers for violations of the marketing rule (“Marketing Rule”) under the Investment Advisers Act of 1940 (“Advisers...
RIA Regulatory Review - June 2024 | JD Supra
JD Supra· 3 days agoThe SEC adopted amendments to Regulation S-P to require SEC-registered investment advisers, among other entities, to develop, implement, and maintain written ...
SEC's Private Fund Advisers Rule Struck Down by Fifth Circuit | JD Supra
JD Supra· 11 hours agoThe Securities and Exchange Commission (the “SEC”) worked with the institutional investor and private investment fund manager communities to finalize the rule over an extended ...
Despite a Court Tossing Out Private Fund Rules, Advisors May Still Follow its Guidance
WealthManagement.com· 23 hours agoCircuit Court of Appeals decision to strike down SEC’s Private Fund Adviser Rules, including the ...