Terry D. Nelson

Terry D. Nelson

Foley & Lardner LLP

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A Compilation of Enforcement and Non-Enforcement Actions

Non-Enforcement - Assets Under Management by Registered Investment Advisers Have Increased Substantially - Will “Accredited Investor” Definition Be Changed? - Excessive Fee Case Withstands Dismissal -...more

11/3/2014 - Accredited Investors Alternative Mutual Funds Custody Rule Dodd-Frank Enforcement Actions Excessive Fees Falsified Documents Investment Adviser Regulation D SEC

SEC Approves JOBS Act Requirement to Lift General Solicitation and Advertising Ban Under Rule 506

On July 10, 2013, the SEC voted to lift the ban on general solicitation and advertising for offerings limited to accredited investors under Rule 506 and for offerings under Reg. 144A of the Securities Act of 1933....more

7/11/2013 - Accredited Investors Advertising General Solicitation JOBS Act Regulation D SEC Startups

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