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Filing Requirements Private Funds Broker-Dealer

Alston & Bird

Thinking Ahead: Increased and New FINRA Fees for Public Offering and Private Placement Reviews

Alston & Bird on

Our Investment Funds Team reviews changes to two fees from the Financial Industry Regulatory Authority (FINRA) that begin July 1, 2025....more

Foley & Lardner LLP

Form PF Changes Ahead – the SEC Keeps Its Focus on Private Fund Advisers

Foley & Lardner LLP on

On January 26, 2022, the Securities and Exchange Commission (“SEC”) voted 3-1 to propose amendments to Form PF. The Form PF, which was initially adopted in 2011 and became effective on June 15, 2012, is a confidential report...more

Akin Gump Strauss Hauer & Feld LLP

SEC Charges 21 Advisers for Form CRS Failures – Impact on Private Fund Managers

On July 26, 2021, 21 investment advisers entered into settlements with the Securities and Exchange Commission to resolve charges that they failed to timely file and deliver their relationship summaries on Form CRS. Penalties...more

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