Investment Advisers Act

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Speaking at the recent conference on Emerging Trends in Asset Management hosted by the SEC’s Division of Investment Management, the Director the Division of Investment Management Natasha Vij Greiner cited a number of statistics from the SEC’s recently published “Registered Fund Statistics.”  She cited the rapid growth of the asset management industry—now comprised of more…

In recent remarks, Commissioner Uyeda addressing the Council of Institutional Investors outlined his concerns regarding several SEC rulemakings.  The members of the Council of Institutional Investors are responsible for combined assets under management of nearly $5 trillion and include state and local government pension plans, among others.  The Commissioner addressed the many rules that have…

Webinar: September 14, 2023

12:30 p.m. – 1:30 p.m. ET

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The SEC recently adopted rules for private fund advisers that would impose new obligations and significantly restrict certain activities. Join us for a discussion on the key requirements, the impact of these new rules and considerations for advisers as they implement these…

On August 23, 2023, the US Securities and Exchange Commission (the “SEC”) adopted final rules imposing additional obligations on and restricting certain practices by advisers to “private funds” (the “Final Rules”). Ahead of our in-depth analysis of the Final Rules, we summarize in this Legal Update certain high-level differences between the Final Rules and the…

The Securities and Exchange Commission announced that it will hold an open meeting on August 23, 2023 during which it will consider, among other things, whether to adopt rules and amendments under the Investment Advisers Act of 1940 (“Advisers Act”) for private fund advisers and whether to adopt amendments to the compliance rule under the…

The Securities and Exchange Commission announced an open meeting to be held on July 26, 2023.  The agenda includes consideration of the final amendments to the rules relating to enhanced and standardized disclosures regarding cybersecurity for public companies.  The amendments were proposed in March 2022 (see our alert on the proposed rules) and were the…

On February 7, 2023, the Division of Examinations of the US Securities and Exchange Commission (the “Division” and the “SEC,” respectively) announced its examination priorities for 2023. This year, the Division identified new and significant focus areas including: (i) recently adopted rules under the Investment Advisers Act of 1940 and Investment Company Act of 1940…

Today, February 7, 2023, the Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee will host a meeting to discuss several matters.  The Committee will discuss alternatives to traditional bank and venture capital funding for small and mid-size private companies.  Next, the Committee will discuss rules and amendments first proposed in February 2022 pertaining…

The Securities and Exchange Commission (“SEC”) scheduled an open meeting for October 26, 2022 at 10:00 am ET to consider several matters.

The SEC will consider whether to adopt rules to implement Section 10D of the Securities Exchange Act of 1934, which includes “clawback” standards on national securities exchanges, as proposed by the SEC in…