On March 19, 2025, the Securities and Exchange Commission (“SEC”) updated its frequently asked questions (FAQs) relating to Rule 206(4)-1 under the Investment Advisers Act of 1940 (the “Marketing Rule”). The new FAQs permit...more
On October 18, 2019, the SEC’s Division of Investment Management issued guidance in the form of Frequently Asked Questions that address certain matters regarding the disclosure of conflicts of interest involving the receipt...more
12/10/2019
/ 12b-1 plan ,
Conflicts of Interest ,
Disclosure Requirements ,
Fiduciary Duty ,
Form ADV ,
Form CRS ,
Investment Adviser ,
New Guidance ,
Revenue Sharing ,
Securities and Exchange Commission (SEC) ,
Share Class Selection Disclosure Initiative (SCSD)
On November 4, 2019, the U.S. Securities and Exchange Commission (SEC) proposed significant amendments to the rules under the Investment Advisers Act of 1940 (Advisers Act) governing investment adviser advertisements and...more
11/19/2019
/ Advertising ,
Books & Records ,
Broker-Dealer ,
Cash Solicitation Rule ,
Disclosure Requirements ,
Endorsements ,
Form ADV ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investors ,
Pooled Investment Vehicles ,
Portability ,
Private Funds ,
Proposed Amendments ,
Recordkeeping Requirements ,
Retail Investors ,
Securities and Exchange Commission (SEC)
Investment advisers registered with the U.S. Securities and Exchange Commission (“SEC”) or with a state (“Advisers”) as well as commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) registered with the...more
2/16/2018
/ Commodity Trading Advisors (CTAs) ,
CPOs ,
Data Collection ,
Disclosure Requirements ,
FATCA ,
FBAR ,
Filing Deadlines ,
Filing Requirements ,
Financial Institutions ,
FinCEN ,
Foreign Direct Investment ,
Foreign Financial Accounts ,
Form ADV ,
Investment Adviser ,
Private Funds ,
Registration ,
Securities and Exchange Commission (SEC) ,
U.S. Treasury