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New SEC Rules Enhance Regulation of Private Fund Advisers

Recently, the Securities and Exchange Commission (the “SEC”) adopted much anticipated rules under the Investment Advisers Act of 1940 (the “Advisers Act”) aimed at (i) bolstering the regulation of private fund advisers and...more

New Investment Adviser Marketing Rule Now in Effect

The transition period for recently adopted changes intended to modernize rules that govern investment adviser advertisements and compensation of solicitors has expired (effective November 4, 2022). The new rules revise and...more

Proposed Reforms to Private Fund Adviser Regulation

On February 9, 2022, the US Securities and Exchange Commission (the “SEC”) proposed changes to the rules governing advisers to private funds. If adopted, the rules would constitute a sweeping change to the regulatory...more

SEC Proposes Limited Exemption for Individual "Finders"

On October 8, 2020, the Securities and Exchange Commission (the "SEC") voted to propose a new limited conditional exemption from broker registration requirements for "finders." The SEC's press release is accessible here....more

SEC Expands Pool of Eligible Private Offering Participants

On August 26, 2020, the Securities and Exchange Commission (the "SEC") adopted amendments to update and expand the definitions of "accredited investor" and "qualified institutional buyer." As a result of the new categories of...more

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