• 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