Investment Advisers & Private Funds

• SBA Institutes Inflation Adjustments to SBIC Program Fees

  September 2, 2021

• Reminder: Increased “Qualified Client” Dollar Amount Tests to Take Effect August 16, 2021

  August 13, 2021

• Reminder: FINRA Entitlement Certification Due by July 19, 2021

  July 15, 2021

• Supreme Court in United States v. Arthrex Salvages Administrative Patent Judge Statute, Declares PTO Director Can Review Final Written APJ Panel Decisions

  June 23, 2021

• 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