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Searching Content indexed under Strategy by Robert Sawyer ordered by Published Date Descending.
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Passive Business Rule
Small Business Investment Companies ("SBICs") are generally prohibited from investing in passive (i.e., non-operating) small businesses under the Small Business Investment Act of 1958...
United States
30 Oct 2017
2
DOL Provides Temporary Enforcement Relief On Fiduciary Rule
The U.S. Department of Labor issued a Field Assistance Bulletin (FAB 2017-01) on Friday, March 10, 2017 to address near-term compliance concerns relating to a proposed 60-day delay of the Fiduciary Rule.
United States
28 Mar 2017
3
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
4
SBIC Exemption From SEC Registration Under Dodd-Frank Act
The SEC's final rules on the implementation of SEC registration requirements for investment advisers under the Investment Advisers Act of 1940, as recently modified by the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act"), were published in the Federal Register and will become effective July 21, 2011 (the "Rules").
United States
20 Jul 2011
5
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
6
SEC Proposes Definition of "Family Office"
On October 12, 2010, the Securities and Exchange Commission ("SEC") released for comment a new proposed Rule 202(a)(11)(G)-1 (the "Proposed Rule").
United States
1 Nov 2010
7
Further Guidance On The Revised Accredited Investor Standard
Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Act") sets forth, among other regulatory changes, a revised net worth test for a natural person to qualify as an "accredited investor" for purposes of Regulation D under the Securities Act of 1933, as amended (the primary private placement exemption relied on by investment advisers managing private investment funds).
United States
11 Aug 2010
8
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
9
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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