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Relief for Non-U.S. Investment Advisers: SEC Clarifies the Extraterritorial Limits of the New...
The National Law Review· 5 hours agoOn August 23, 2023, the U.S. Securities and Exchange Commission (“SEC”) adopted its highly...
New SEC Data Breach Rules for Investment Advisers, Broker Dealers and Investment Companies | JD...
JD Supra· 17 hours agoSecurities and Exchange Commission (the “SEC”) adopted amendments to Regulation S-P (the “... Amendments”), which were published in the Federal Register ...
JD Supra: Proskauer's Hedge Start: When Is SEC Registration Necessary?
JD Supra· 8 hours agoSecutiries and Exchange Commission (SEC) under the Investment Advisers Act of 1940, as amended (Advisers Act), will be required. In general, an
Fifth Circuit Vacates the Private Fund Advisers Rules in their Entirety | JD Supra
JD Supra· 17 hours agoIn adopting the Final Rule, the SEC relied on its antifraud rulemaking authority found in section 206(4) of the Investment Advisers Act of 1940, as amended ...
SEC, FinCEN Propose CIP Rules for Investment Advisers | JD Supra
JD Supra· 2 days agoThe Securities and Exchange Commission (SEC) and U.S. Department of the Treasury’s Financial Crimes Enforcement...) jointly published a notice of proposed rulemaking (Proposed ...
JD Supra: SEC Settles with Five Investment Advisers for Marketing Rule Violations
JD Supra· 6 days agoThe SEC recently settled charges against five registered investment advisers for violations of the marketing rule (“Marketing Rule”) ...
5th Circuit Strikes Down SEC's Private Fund Advisers Rule | National Law Journal
Law.com· 1 day agoA federal appeals court Wednesday struck down the U.S. Securities and Exchange Commission’s...
Should Finfluencers Be Regulated as Financial Advisors?
Barrons.com· 5 hours agoinvestment advisor, the SEC is able to assert the antifraud provisions and the fiduciary obligations...
U.S. Appeals Court Vacates SEC Private Fund Adviser Rule
The National Law Review· 8 hours agoGo-To Guide:
Private Funds Rules Vacated
The National Law Review· 6 hours agoOn June 5, 2024, the United States Court of Appeals for the Fifth Circuit (the “Court”) vacated the entire set of new Investment Advisers Act of 1940...
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