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1
JOBS Act Client Alert – Rules 506 Of Regulation D And 144A
The JOBS Act (the "Act"), signed into law on April 5, 2012, promises to have a significant impact on two popular exemptions to registration of securities under federal securities laws.
United States
11 Jun 2012
2
The SEC's Delayed Rule-Making And Implications For Corporate Conflict Minerals Reports
The U.S. Securities and Exchange Commission ("SEC") failed to issue a final rule on conflict minerals regulations before the end of 2011, and companies still await clear guidance on the scope of Section 1502 and the nature of the relevant reporting requirements.
United States
30 Mar 2012
3
Massachusetts Securities Division Adopts New Investment Adviser Regulations
The Massachusetts Securities Division (the "Division") has adopted new regulations related to the registration of investment advisers.
United States
22 Feb 2012
4
Deadlines Loom For Advisers Required To Register Under Dodd-Frank Or Become An Exempt Reporting Adviser
Asset managers are reminded that The Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act") implemented a significant change in the approach taken under the Investment Advisers Act of 1940, as amended (the "Advisers Act"), regarding the registration with the Securities and Exchange Commission (the "SEC") of advisers to unregistered funds.
United States
25 Jan 2012
5
409A Option Pricing Redux
Last week I had a conversation with an entrepreneur who was confused about option pricing, and no matter how many times I tried to explain it, he never seemed to get his head around it. Now, there may be a psychological explanation for his inability to understand, because he clearly wanted to hear a particular answer, and it was not what I was telling him.
United States
12 Jan 2012
6
Massachusetts Securities Division Adopts Regulations For Use Of Expert Network Services By Investment Advisers
On August 8, 2011, the Massachusetts Securities Division (the "Division") adopted regulations regarding the use of expert network services by investment advisers in Massachusetts (regardless of whether the adviser is registered with the Division or exempt from registration). Under new 950 CMR 12.205(9)(c)(16), investment advisers in Massachusetts will be required to obtain a written certification before engaging an expert network service (the "Expert Network Rule").
United States
14 Nov 2011
7
SEC Adopts Rule For Large Trader Reporting
On July 26, 2011 the U.S. Securities and Exchange Commission (the "SEC") adopted Rule 13h-1, which implements registration and reporting requirements for large traders.
United States
22 Sep 2011
8
Reminder: Increased "Qualified Client" Dollar Amount Tests To Take Effect On September 19
On September 19, 2011, the Securities and Exchange Commission’s (the "SEC") increased dollar amount thresholds for "qualified clients" as defined under rule 205-3 of the Investment Advisers Act of 1940, as amended, will go into effect.
United States
19 Sep 2011
9
Massachusetts Securities Division Releases Report On Investment Advisers’ Use Of Social Media; New Regulations Anticipated
On July 6, 2011, the Securities Division of The Office of the Secretary of the Commonwealth (the "Securities Division") released a report on the results of a social media survey it previously sent to Massachusetts-registered investment advisers.
United States
19 Jul 2011
10
SEC Issues Order Approving Adjustment to "Qualified Client" Dollar Amount Tests
An investment adviser registered with the Securities and Exchange Commission may only charge a performance fee with respect to "qualified clients."
United States
19 Jul 2011
11
Upcoming Form ADV Part 2B Deadline
Investment Advisers registered with the US Securities and Exchange Commission (the "SEC") as of December 31, 2010, and that have fiscal years ending December 31, 2010 through April 30, 2011 must start delivering brochure supplements (Part 2B Form ADV) to new and prospective clients by July 31, 2011 and to existing clients by September 30, 2011.
United States
15 Jul 2011
12
SEC Amends Pay-To-Play Rule
On June 22, 2011, the Securities and Exchange Commission ("SEC") released amendments to Rule 206(4)-5 (the "Rule") under the Investment Advisers Act of 1940 (the "Advisers Act"), which places restrictions on political contributions by an investment advisor or its covered associates, and prohibits the engagement by an investment advisor of unregulated third party solicitors to solicit government entity clients on its behalf.
United States
6 Jul 2011
13
SEC Adopts Final Dodd-Frank Registration Rules And Extends Deadline For Compliance
At an open meeting of the Securities and Exchange Commission (the "SEC") held earlier today, the SEC adopted final rules relating to the implementation of the changes to the registration requirements contained within the Dodd-Frank Wall Street Reform and Consumer Protection Act.
United States
24 Jun 2011
14
Conflict Minerals: SEC Delays Federal Rules And California Senate Passes New Bill
The Securities and Exchange Commission ("SEC") has delayed the release of final rules applicable to companies that source "conflict minerals" from the Democratic Republic of Congo ("DRC") and adjoining countries. Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act requires companies that utilize tin, tungsten, tantalum, and gold to conduct and disclose due diligence on their supply chains in order to identify whether the sourcing of these minerals is supporting the ongo
United States
19 Apr 2011
15
New Report on Revenue Transparency And The Extractive Sector
Transparency International and Revenue Watch have released a report, Promoting Revenue Transparency: 2011 Report on Oil and Gas Companies, that is indicative of the pressure being placed on extractive sector companies to report on their payments to host governments and the value-sharing stipulations in their contracts.
United States
15 Apr 2011
16
SEC Contemplates Extending Registration Deadlines For Investment Advisers
In a letter dated April 8, 2011 to the President of the North American Securities Administrators Association, Inc., Robert E. Plaze, Associate Director of the Securities and Exchange Commission ("SEC"), indicated that the SEC will consider extending the deadlines by which certain advisers must register with the SEC, or switch from SEC to state registration, under the new provisions of the Dodd-Frank Wall Street Reform and Consumer Protect Act (the "Dodd-Frank Act").
United States
15 Apr 2011
17
Investment Adviser Important Dates And Reminders
All investment advisers registered with the Securities and Exchange Commission ("SEC") are required to review their compliance policies and procedures at least annually.
United States
2 Feb 2011
18
SEC Proposes Rules Implementing New Investment Adviser Registration Provisions
On November 19, 2010, the Securities and Exchange Commission (the "SEC") issued two sets of proposed rules relating to the implementation of amendments to the Investment Advisers Act of 1940, as amended (the "Advisers Act"), contained within the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act").
United States
30 Nov 2010
19
SEC Proposes Rule Relating to Implementation of Section 14A(d) of the Exchange Act
On October 18, 2010, the Securities and Exchange Commission (the SEC) issued proposed rule 14Ad-1, relating to new Section 14A(d) of the Securities Exchange Act of 1934, as amended (the Exchange Act).
United States
12 Nov 2010
20
SEC Stays Effectiveness of Proxy Access Rule
On October 4, 2010, the SEC stayed the effectiveness of its recently adopted Proxy Access Rules (Rule 14a-11, and complementary amendments to Rule 14a-8, under the Securities Exchange Act of 1934) during the pendency of litigation attacking the adoption of the rules.
United States
12 Oct 2010
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