Nicholas Hodge

Nicholas Hodge

K&L Gates LLP

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Changes to the Annual Privacy Notice Delivery Requirement

As a result of recent changes to federal privacy laws, financial institutions—such as registered investment advisers, exempt reporting advisers, commodity trading advisers, registered broker-dealers and private funds—may no...more

2/4/2016 - Financial Institutions Financial Sector Fixing America’s Surface Transportation Act (FAST Act) Gramm-Leach-Blilely Act Privacy Notice Rule

New IRS Revenue Ruling 2014-18 and the Use of Hedge Fund Stock Options

The Internal Revenue Service has issued Revenue Ruling 2014-18 (the “Ruling”) to clarify that stock options and stock-settled stock appreciation rights (“SARs”), properly designed, can be used as a form of compensation to...more

6/13/2014 - Compensation & Benefits Deferred Compensation Hedge Funds Internal Revenue Code (IRC) IRS SAR Section 457A

SEC Adopts Rule Amendments to Permit General Solicitation in Certain Private Offerings

On July 10, 2013, the Securities and Exchange Commission (“SEC”) adopted final rules to eliminate the prohibition against general solicitation and general advertising in certain securities offerings under Rule 506 of...more

7/19/2013 - Advertising General Solicitation JOBS Act Private Placements Regulation D Rule 144A Rule 506 Offerings SEC Securities Act of 1933

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