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Regulatory Update and Recent SEC Actions - January 2021 | Blank Rome LLP


REGULATORY UPDATES
SEC Proposes Conditional Exemption for Finders Assisting Small Businesses with Capital Raising
On October 7, 2020, the Securities Exchange Commission (the “SEC”) proposed a conditional exemption from broker registration requirements for certain “finders” who assist issuers with raising capital in private markets. If adopted, the proposed exemption would permit natural persons to engage in certain limited activities involving accredited investors without registering with the SEC as brokers. The proposed exemption seeks to assist small businesses in raising capital and to provide regulatory clarity to investors, issuers, and the finders who assist them. The proposed exemption would establish guidelines for both registered broker activity and limited activity by finders that would be exempt from registration. ....

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Investment Management, Trading & Markets Updates – January 2021 | Alston & Bird


SEC Final Rule on Modernized Marketing for Investment Advisers
On December 22, 2020, the Securities and Exchange Commission (SEC) passed a final rule to modernize marketing under the Investment Advisers Act of 1940, as amended. The amendments create a single rule that replaces the current advertising and cash solicitation rules, Rule 206(4)-1 and Rule 206(4)-3, respectively. The staff of the Division of Investment Management also expects to withdraw no-action letters and other guidance that previously applied to the advertising and cash solicitation rules. Additionally, the SEC has made related amendments to Form ADV, the investment adviser registration form, and Rule 204-2, the books and records rule, to reflect the new rule. The revised Rule 206(4)-1 generally: (1) codifies the previous guidance that prohibits untrue statements of material facts, omitting material facts, misleading statements, and any presentations that could be misleading; (2) will now allow for the use of ....

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SEC modernizes valuation practices | Eversheds Sutherland (US) LLP


Overview
On December 3, 2020, the Securities and Exchange Commission (the SEC) adopted new rule 2a-5 (Rule 2a-5) under the Investment Company Act of 1940, as amended (the 1940 Act), which establishes a framework for fund valuation practices and clarifies how the board of directors (the Board) of a fund can satisfy its valuation obligations under the 1940 Act. The SEC also adopted new rule 31a-4 (Rule 31a-4, and together with Rule 2a-5, the Final Rules), which provides certain recordkeeping requirements associated with fair value determinations. The Final Rules were initially proposed in April 2020 (the Proposed Rule) and, as described below, the SEC adopted the Final Rules with certain modifications to the Proposed Rule. ....

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