News & Analysis as of September 22, 2024

Verification Requirements

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SIFMA Provides Guidance on Verification of Accredited Investor Status by Broker-Dealers and Investment Advisers

Goodwin on 7/30/2014

The Securities Industry and Financial Markets Association (SIFMA) issued a memorandum (the “Memorandum”) with guidance for registered broker-dealers and investment advisers on various non-exclusive means of verifying an...more

Corporate and Financial Weekly Digest - Volume IX, Issue 27

Katten Muchin Rosenman LLP on 7/14/2014

In this issue: - SEC Publishes Guidance for Investment Advisers and Proxy Advisory Firms Regarding Proxy Voting and Solicitation - SEC Division of Corporation Finance Issues C&DIs Relating to Accredited Investor...more

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Investment Adviser › Accredited Investors › Verification Requirements

SIFMA Provides Guidance on Verification of Accredited Investor Status by Broker-Dealers and Investment Advisers

Corporate and Financial Weekly Digest - Volume IX, Issue 27

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