SEC Adopts Rules Allowing for General Solicitation and Advertising for Private Offerings under JOBS Act.
Chief Compliance Officers – Mandatory Compliance Requirement
Presence Exams the SEC’s New Initiative for Private Fund Managers
SEC proposes rules relating to general advertising
SEC Approves FINRA Private Placement Rule: New Filing Requirements for FINRA members
Simplifying the JOBS Act
New Requirements For Clients Charged Performance Based Compensation by Registered Investment Advisers
SEC Announces New Net Worth Standard for Accredited Investors
SEC Announces New Reporting Requirements and Extends Registration Deadlines
SEC Whistleblower Rules Permit Most Hedge Fund Employees To Bypass Internal Compliance, While Providing No Remedy For Internal Report Retaliation
Expert Networks
Exempt Reporting Advisers Must File Form ADV Part 1A
Qualified Client Standard Raised – Effective September 19, 2011