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Searching Content indexed under Financial Services by Robert Sawyer ordered by Published Date Descending.
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SBA Announces New Fee On Leverage Draws And New Process For Leverage Approval Notices
On August 14, 2019, the U.S. Small Business Administration ("SBA") announced that it will charge a new fee on draws of committed SBA leverage made on and after October 1, 2019.
United States
23 Aug 2019
2
April 1, 2019: Effective Date Of NFA Compliance Rule 2-9
As a reminder, pursuant to an Interpretive Notice recently released by the National Futures Association ("NFA"), all commodity pool operators ("CPOs") ...
United States
10 Apr 2019
3
CFTC 4.13(a)(3) Annual Affirmations Due March 1, 2019
As a reminder, fund managers relying on the exemption from registration with the U.S. Commodity Futures Trading Commission (the "CFTC") set forth in Rule 4.13(a)(3), commonly referred to as the "de minimis exemption," must affirm their claim of exemption by this Friday, March 1, 2019.
United States
7 Mar 2019
4
Important Dates And Reminders For Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors And Commodity Pool Operators - February 12, 2019
Important Dates And Reminders For Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors And Commodity Pool Operators - February 12, 2019
United States
20 Feb 2019
5
Reminder: Renewal And Notice Filing Fees For Investment Advisers Due By December 17
As a reminder, investment advisers who are subject to any state registration, renewal or notice filing fees must have funded their IARD accounts by December 17 in order to cover such fees...
United States
6 Dec 2018
6
FinCEN Proposed AML Rule For Investment Advisers
The Financial Crimes Enforcement Network, a bureau of the Department of Treasury, issued a proposed anti-money laundering rule applicable to investment advisers registered with the U.S. Securities and Exchange Commission.
United States
17 Sep 2015
7
SEC Proposes Rules Imposing Additional Reporting And Recordkeeping Requirements For Investment Advisers
The proposed rules will be published in the Federal Register, and the comment period will remain open for 60 days after such publication date.
United States
26 May 2015
8
Reminder: Renewal And Notice Filing Fees For Investment Advisers Due By December 12
As a reminder, investment advisers who are subject to any state registration, renewal or notice filing fees must fund their IARD accounts by December 12 in order to cover such fees.
United States
25 Nov 2014
9
SEC Issues No-Action Letter On The Definition Of Knowledgeable Employee
The Division of Investment Management of the SEC issued a no-action letter providing guidance on the definition of knowledgeable employee.
United States
25 Mar 2014
10
Important Dates And Reminders For Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors And Commodity Pool Operators
All investment advisers registered with the Securities and Exchange Commission are required to review their compliance policies and procedures at least annually.
United States
4 Mar 2014
11
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
12
Massachusetts Securities Division Issues Guidance On The Use Of Social Media By Investment Advisers
On January 18, 2011 the Massachusetts Securities Division (the "Division") issued guidance on the use of social media by investment advisers registered with The Commonwealth of Massachusetts.
United States
31 Jan 2012
13
SEC Adopts Pay-to-Play Restrictions (Rule 206(4)-5)
On Wednesday June 30, 2010, members of the Securities and Exchange Commission (the "SEC") voted unanimously to approve new Rule 206(4)-5 (the "Rule") adopted under the Investment Advisers Act of 1940 (the "Advisers Act").
United States
26 Jul 2010
14
Senate Passes Final Wall Street Reform Legislation (The Dodd-Frank Act)
On July 15, 2010, the U.S. Senate (the "Senate") voted 60-39 to approve the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Bill").
United States
21 Jul 2010
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