W. Scott McGinness Jr.

W. Scott McGinness Jr.

Miller & Martin PLLC

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Cybersecurity Risks and the SEC – You'll Need "Guidance"

The Securities and Exchange Commission ("SEC") is becoming increasingly concerned with cybersecurity risks to which investment advisers may be exposed. Consequently, it has recently issued guidance ("Guidance") as to actions...more

5/12/2015 - Cybersecurity Investment Adviser New Guidance SEC

CFTC Issues Additional Relief for Family Offices

In November 2012, the CFTC's Division of Swap Dealer and Intermediary Oversight issued a no-action letter stating that the Division would not recommend that the CFTC take enforcement action against a family office for failure...more

12/22/2014 - CFTC CPOs Family Offices Investment Advisers Act of 1940 No-Action Letters Swap Dealers Swaps

SEC Eliminates Ban on General Solicitation in Private Offerings

On July 10, 2013, the SEC took the following actions that are likely to have a significant impact on hedge funds, private investment funds and other companies that raise capital through private offerings of securities...more

7/16/2013 - Advertising General Solicitation Hedge Funds IRS JOBS Act Private Investment Funds Private Placements Regulation D Rule 144A Rule 506 Offerings SEC

Family Office Relief from CPO Registration

As noted in an earlier Client bulletin, the Division of Swap Dealer and Intermediary Oversight (“Division”) of the Commodity Futures Trading Commission (“CFTC”) issued a no-action letter dated November 29, 2012 enabling...more

2/26/2013 - CFTC Commodity Pool CPO Exemptions Family Offices Filing Deadlines No-Action Letters Registration SEC

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