by admin | Oct 14, 2016 | Investment Funds
By Terrence Griffiths Reporting and disclosure requirements for managers of “alternative investment vehicles” (“AIV”) in California just became more complex with Governor Jerry Brown’s signing of a new amendment to California law, specifically aimed at transparency...
by admin | Oct 5, 2016 | Investment Advisers
By Greg Caramenico and Lauren Mack On August 18th, the Securities and Exchange Commission (“SEC”) approved a Financial Industry Regulatory Authority Inc. (“FINRA”) rule that establishes less burdensome regulations for “Capital Acquisition Brokers” (“CABs”), which are...
by admin | Nov 16, 2015 | Investment Advisers
By William Kelly Acknowledging the rapid evolution of information technology and correspondent threats, on August 20, 2015 the National Futures Association (“NFA”) issued an Interpretive Notice addressing cybersecurity concerns. The Interpretive Notice established...
by admin | Oct 1, 2015 | Regulation D
By Lauren Mack On August 6, 2015, the SEC’s Division of Corporation Finance (“DCF”) updated its Compliance and Disclosure Interpretations (“CDI”) with eleven new CDI on general solicitation and advertising in Regulation D offerings. That same day, the DCF also issued...
by admin | Apr 1, 2014 | Regulation D
While new Rule 506(c) promises to transform the Regulation D fundraising landscape, there are the so called “bad actor” companion rules that anyone raising money pursuant to 506(c) must pay close attention to. In particular, on July 10, 2013, the U.S. Securities and...
