Peter Shea

Peter Shea

Seward & Kissel LLP

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SEC Staff Issues Bright Line Guidance for Minimum Investment Amount in Offerings to Verify Accredited Investor Status under Rule...

On March 12, 2025, staff of the Office of Small Business Policy of the Division of Corporation Finance (the “SEC Staff”) of the Securities and Exchange Commission (the “SEC”) issued interpretive guidance in the form of a...more

4/15/2025  /  Accredited Investors , Capital Markets , Investment , New Guidance , No-Action Letters , Regulation D , Regulatory Requirements , Rule 506(c) , Securities and Exchange Commission (SEC) , Securities Regulation

SEC Staff Updates FAQs Regarding Marketing Rule Compliance – Gross and Net Performance

On March 19, 2025, the staff of the Division of Investment Management (the “SEC Staff”) of the Securities and Exchange Commission (the “SEC”) released an update to its Frequently Asked Questions1 (the “FAQs”) relating to...more

3/25/2025  /  Compliance , Investment , Investment Adviser , Investment Advisers Act of 1940 , Investment Management , Securities and Exchange Commission (SEC) , Securities Regulation
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