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"Update on Compliance Date of SEC Rule 206(4)-5's Placement Agent Provision"

On June 25, 2015, the Securities and Exchange Commission (SEC) issued Release No. IA-4129 setting July 31, 2015, as the compliance date for SEC Rule 206(4)-5's placement agent restrictions on using third-party and affiliated...more

Financial Services Legislative And Regulatory Update -- March 11‚ 2013

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week - As the first full week of the Federal government’s sequestration comes to a...more

February 17, 2012 - The Federal Crimes Watch Daily

The Federal Crimes Watch Daily is a daily newspaper that discusses current federal criminal issues written by a federal criminal defense attorney....more

New California Lobbyist Legislation Regulates Private Fund Sponsors and Placement Agents

Recent California legislation dramatically expands the regulation of private fund sponsors and placement agents. Both outside placement agents and certain employees of investment managers who solicit investments from CalPERS...more

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