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Marketing Rule Update: Recent Risk Alert And SEC Orders - Advertising, Marketing & Branding

The Marketing Rule has been in effect since November 4, 2022, and it continues to raise difficult and nuanced interpretive issues for RIAs concerning their advertising materials and client solicitation arrangements. ....

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Preparing For The Amended Form PF - Securities

In May 2023, the SEC adopted amendments to Form PF, which change certain existing questions and create new events-based reporting requirements. ....

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Final Rule — Private Fund Advisers; Documentation Of Registered Investment Adviser Compliance Reviews - Securities

On August 23, 2023, the SEC adopted the Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews final rules. ....

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Preparing To Comply With The Corporate Transparency Act - Trusts

The initial compliance date for FinCEN's final rule on beneficial ownership information reporting requirements is quickly approaching, with certain provisions going into effect on January 1, 2024. ....

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Recent ESG-Related Developments In The United States - Securities

On September 20th, the SEC finalized the Investment Company Names rule and, despite recent suggestions by Chair Gary Gensler that at the SEC they "try not to do things against a clock,". ....

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