On August 26, 2020, by a 3-2 vote, the Securities and Exchange Commission (the “SEC”) adopted rule changes that generally expand the scope of the definitions of “accredited investor” in Rule 501(a) of Regulation D and of...more
8/28/2020
/ Accredited Investors ,
Asset Management ,
Financial Regulatory Reform ,
Investment Opportunities ,
Private Funds ,
Qualified Institutional Buyers ,
Registered Investment Advisors ,
Rule 144A ,
Rural Business Investment Companies (RBICs) ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
Recent events have made it clear that there is an increased regulatory focus on the conduct of investment professionals in the wealth-management industry. ...more
On February 3, 2017, President Trump signed two executive actions intended to provide a framework for scaling back the Dodd-Frank Act (“Dodd-Frank Act”) and rescinding or revising the Department of Labor’s “fiduciary rule.”...more
2/6/2017
/ Bailout ,
Best Interest Standard ,
CFTC ,
Department of Labor (DOL) ,
Dodd-Frank ,
Employee Benefits ,
Employee Retirement Income Security Act (ERISA) ,
Executive Orders ,
FDIC ,
FHFA ,
Fiduciary Rule ,
Financial Regulatory Reform ,
Investment Adviser ,
NCUA ,
OCC ,
Regulatory Standards ,
Retirement ,
Securities and Exchange Commission (SEC) ,
Trump Administration