Investment Advisers & Private Funds

• SEC Adopts New Marketing Rule for Investment Advisers

  March 9, 2021

• Important Dates and Reminders For Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors and Commodity Pool Operators

  February 11, 2021

• Reminder: Compliance Date for NFA's Swaps Proficiency Requirements is January 31, 2021

  January 26, 2021

• Reminder: Renewal and Notice Filing Fees for Investment Advisers Due by December 14, 2020

  November 24, 2020

• SBA Announces Simpler PPP Forgiveness for Loans Less Than $50k

  October 13, 2020

• New SBA Guidance on Change in Ownership by PPP Borrowers

  October 5, 2020

• U.S. Department of Labor Revises Families First Coronavirus Response Act Regulations

  September 21, 2020

• SEC Office of Compliance Inspections and Examinations Issues COVID-19 Risk Alert to Broker-Dealers and Investment Advisers

  September 11, 2020

• SEC Amends “Accredited Investor” Definition

  August 31, 2020

• DOL Reinstates Five-Part-Test for Investment Advice Fiduciaries and Proposes New Exemption

  August 14, 2020