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Securities and Exchange Commission (SEC) › Trusts › Securities Exchange Act

Winstead PC

Trusts as Qualified Clients: Understanding the Qualified Client Threshold for Trusts Investing in Private Securities - March 2025

Winstead PC on

This article is the second of a three-part series discussing trusts in the context of certain common investor thresholds for investment in private securities. This article will examine trusts as “qualified clients” under the...more

Proskauer Rose LLP

Wealth Management Update - February 2025

Proskauer Rose LLP on

February 2025 Interest Rates for GRATs, Sales to Defective Grantor Trusts, Intra-Family Loans and Split Interest Charitable Trusts - The February applicable federal rate (“AFR”) for use with a sale to a defective grantor...more

Foley & Lardner LLP

SEC Finds Collective Investment Trust to Violate 1940 Act

Foley & Lardner LLP on

A September 30, 2020 enforcement action brought by the SEC pivoted on a failure to effectively exercise “substantial investment authority”. Day to day investment advisory services were provided by an affiliated RIA of the...more

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