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SEC Releases New Source of Guidance for Marketing Rule

US Securities and Exchange Commission SEC releases two new sources of guidance for Marketing Rule to include gross and net rates of return in marketing materials

SEC private fund adviser rule vacated by Fifth Circuit | A&O Shearman

On June 5, 2024, the U.S. Court of Appeals for the Fifth Circuit held that the U.S. Securities and Exchange Commission had exceeded its statutory authority in adopting its controversial...

Fifth Circuit Vacates the Private Funds Rules And Constrains the SEC's Rulemaking Authority | Goodwin

Fifth Circuit Vacates Private Fund Adviser Rules | Mayer Brown

RIA Regulatory Review - June 2024 | Dorsey & Whitney LLP

This RIA Regulatory Review highlights certain key regulatory developments affecting investment advisers.

United States - Advertising, Marketing & Branding - SEC Marketing Rule Update: Risk Alert Pinpoints Examination Findings To Date

The SEC's Examination Staff continues to focus on investment adviser's compliance with the Marketing Rule.

SEC Scrutinizes Private Fund Investor Communications | Morris, Manning & Martin, LLP

There has been much ink spilled over the Marketing Rule and the Private Fund Rule under the Investment Advisers Act of 1940.  These rules represent significant regulation of investment...

Latham Texas Private Funds Breakfast Series SEC Updated Rules | Latham & Watkins LLP

United States - Securities - SEC Enforcment Roundup & 4 Key Compliance Items

If you've ever wondered whether the SEC's Division of Enforcement is active, here is a recap of 4 kinds of enforcement actions the SEC has been bringing recently.

United States - Securities - Q1 2024 Asset Management Regulatory Update