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Valuation › Financial Industry Regulatory Authority (FINRA)

A&O Shearman

COVID-19: Compliance and Legal Considerations for Asset Managers

A&O Shearman on

As the world responds to COVID-19, we have identified a number of compliance and legal considerations for asset managers. We summarize a select list of these in our note below....more

Kramer Levin Naftalis & Frankel LLP

FINRA Announces Proposed Amendments to Modernize Corporate Financing Rule

Kramer Levin Naftalis & Frankel LLP on

The Financial Industry Regulatory Authority, Inc. (FINRA) has proposed the first major overhaul since 2004 of its rule regulating public offerings, titled “Regulatory Notice 17-15”....more

Proskauer Rose LLP

2016 Proskauer Annual Review and Outlook for Hedge Funds, Private Equity Funds and Other Private Funds

Proskauer Rose LLP on

This special report provides a summary of some of the significant changes and developments that occurred in the past year in the private equity and hedge funds space, as well as certain recommended practices that investment...more

Katten Muchin Rosenman LLP

SEC Approves Amendments to NASD Rule 2340 and FINRA Rule 2310 to Address Values of Direct Participation Program and Unlisted Real...

Katten Muchin Rosenman LLP on

The Financial Industry Regulatory Authority has issued Regulatory Notice 15-02 regarding the Securities and Exchange Commission’s approved amendments to National Association of Securities Dealers (NASD) Rule 2340 (and...more

Morrison & Foerster LLP

Investment Management Legal + Regulatory Update -- February 2013

Morrison & Foerster LLP on

In This Issue: Regulatory Updates - FINRA overhaul of communications rules becomes effective and ICI and CoC appeal Rule 4.5 ruling. Enforcement + Litigation - Enforcement Division priorities target hedge...more

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