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Searching Content indexed under Listing Rules & Flotation by Ropes & Gray LLP's Investment Management Practice Group ordered by Published Date Descending.
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Ropes & Gray's Investment Management Update: August – September 2017
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
United States
12 Oct 2017
2
SEC Releases Guidance With Respect To Privately Offered Securities And The Custody Rule
The Division of Investment Management of the U.S. Securities and Exchange Commission has recently released an IM Guidance Update with respect to the custody rule, Rule 206(4)-2 under the Investment Advisers Act of 1940, as amended.
United States
6 Aug 2013
3
The SEC Proposes Rules To Remove Prohibitions On General Solicitation And General Advertising In Certain Regulation D Offerings
The Jumpstart Our Business Startups Act enacted on April 5, 2012 (the "JOBS Act"), directed the SEC to amend Rule 506 of Regulation D.
United States
11 Sep 2012
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