Joseph Mannon

Joseph Mannon

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SEC Staff No-Action Letter Allows Issuers to Rely on High Minimum Investment Amounts to Verify Purchasers in Rule 506(c) Offerings

On March 12, 2025, the staff of the Securities and Exchange Commission (“SEC”) issued no-action guidance providing that certain minimum investment amounts, along with certain written representations from the purchaser, could...more

4/3/2025  /  Accredited Investors , Investment Funds , Investors , New Guidance , No-Action Letters , Private Funds , Regulatory Requirements , Securities and Exchange Commission (SEC) , Securities Regulation

SEC Provides Helpful Marketing Rule FAQ Guidance

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

4/3/2025  /  Disclosure Requirements , Investment Adviser , Investment Advisers Act of 1940 , Investment Management , Marketing , New Guidance , Proposed Rules , Regulatory Requirements , Securities and Exchange Commission (SEC)
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