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The Marketing Rule has been in effect since November 4, 2022, and it continues to raise difficult and nuanced interpretive issues for RIAs concerning their advertising materials and client solicitation arrangements.
In May 2023, the SEC adopted amendments to Form PF, which change certain existing questions and create new events-based reporting requirements.
On August 23, 2023, the SEC adopted the Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews final rules.
The initial compliance date for FinCEN's final rule on beneficial ownership information reporting requirements is quickly approaching, with certain provisions going into effect on January 1, 2024.
On September 20th, the SEC finalized the Investment Company Names rule and, despite recent suggestions by Chair Gary Gensler that at the SEC they "try not to do things against a clock,"...