Cary J. Meer

Cary J. Meer

K&L Gates LLP

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Questions & Answers on State and Local Variations on the SEC Pay-to-Play Rule

Many states and municipalities have adopted laws and regulations that affect how investment managers may solicit investment advisory business, including investment in sponsored public and private funds, from the state...more

3/7/2017 - Government Officials Investment Adviser Investment Advisers Act of 1940 Pay-To-Play Political Contributions Recordkeeping Requirements SEC

SEC Adopts Rules for Reporting Separately Managed Accounts on Form ADV and Revised Recordkeeping Rules

Amendments to Form ADV - Information Regarding Separately Managed Accounts - The SEC’s final amendments to Part 1A of Form ADV include items intended to collect more information about each adviser’s SMAs. The...more

10/18/2016 - Form ADV Investment Adviser Recordkeeping Requirements SEC Separately Managed Accounts (SMA)

CFTC Adopts Harmonization Rules for Investment Advisers that are Commodity Pool Operators of Registered Funds

On August 13, 2013, the Commodity Futures Trading Commission (“CFTC”) adopted long-awaited harmonization rules (“Harmonization Rules”) for operators of registered investment companies (“Registered Funds”) that are subject to...more

8/28/2013 - CFTC CPO Disclosure Requirements Harmonization Rules Investment Adviser NFA Recordkeeping Requirements Registered Funds SEC

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