On November 4, 2019, the Securities and Exchange Commission (SEC) released a proposed rule amendment (the Marketing Amendment) that would substantially modify SEC Rules 206(4)-1 (the Advertising Rule) and 206(4)-3 (the...more
11/21/2019
/ Advertising ,
Books & Records ,
Comment Period ,
Compensation ,
Conflicts of Interest ,
Disclosure Requirements ,
Endorsements ,
Form ADV ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investors ,
Marketing ,
Policies and Procedures ,
Private Funds ,
Proposed Rules ,
Recordkeeping Requirements ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Solicitation ,
Testimonial Statements ,
Written Agreements
On September 9, 2019, the Staff (“Staff”) of the Securities and Exchange Commission (“SEC”) Division of Investment Management provided guidance (the “Guidance”) on how to improve principal fund risk disclosures to be more...more
On June 18, 2019, the Securities and Exchange Commission (“SEC”) adopted final amendments to Rule 2-01(c)(1)(ii)(A) of Regulation S-X (the “Loan Rule”) to clarify the analysis that must be conducted to determine whether an...more
7/9/2019
/ Amended Regulation ,
Beneficial Owner ,
Bright-Line Rule ,
Disclosure Requirements ,
Fidelity Investments ,
Final Rules ,
Intermediaries ,
No-Action Letters ,
Policies and Procedures ,
Regulation S-X ,
Securities and Exchange Commission (SEC) ,
Significant Influence Test