News & Analysis as of

Marketing Investment Company Act of 1940

Proskauer - Regulatory & Compliance

FINRA Proposes to Amend Rule 2210 to Permit Projected Performance and Targeted Returns in Institutional Communications

On November 13, 2023, FINRA filed with the SEC a proposal to amendment to Rule 2210 that would create a tailored exception from the general prohibition on projections in marketing materials and other communications with...more

Dorsey & Whitney LLP

SEC Exams of Advisers and Investment Companies

Dorsey & Whitney LLP on

The Division of Examinations has revamped and updated its exam priorities according to its most recent release, 2023 Exam Priorities. Consistent with its typical approach the Division plans to focus on a blend of topics and...more

Dechert LLP

Advisers Act Marketing Rule Compliance Deadline Fast Approaching: Key Preparations and Considerations for Compliance

Dechert LLP on

The November 4, 2022, deadline for advisers to implement amended Rule 206(4)-1 (Marketing Rule) and related rules under the Investment Advisers Act of 1940 is fast approaching. Advisers required to comply with the rule are...more

Seward & Kissel LLP

Withdrawal of SEC Staff Guidance and Letters Related to Fund Fair Valuation Rule and Adviser Marketing Rule

Seward & Kissel LLP on

The SEC staff recently announced the withdrawal or modification of certain staff guidance and no-action letters (“Staff Statements”) in connection with the compliance dates of Rule 2a-5 under the Investment Company of 1940...more

Foley & Lardner LLP

5 Family Office Pitfalls That May Void Securities Exemptions

Foley & Lardner LLP on

A new trading platform is in the works for family offices, which will simplify the deal-making process for private market securities. ShareNett Holdings LLC — a membership-based investment platform serving family offices...more

Manatt, Phelps & Phillips, LLP

Corporate Investigations & White Collar Defense - October 2015

"Wherefore Art Thou Due Process?" Part III - Why it matters: It is time for another installment in our continuing "Wherefore Art Thou Due Process?" coverage into the ongoing constitutional challenges to the SEC's...more

6 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide