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Top News In யார்க் முதலீட்டாளர் ப்ரொடெக்ஶந் பணியகம் Today - Breaking & Trending Today

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

SEC Increases Threshold for “Qualified Clients” Exemption Under Section 205-3 of the Investment Advisers Act of 1940 - On June 17, 2021, the Securities and Exchange Commission (SEC). ....

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Raines Feldman adds Renowned Trustee and Litigation Partners to its Growing Practice Groups

Raines Feldman adds Renowned Trustee and Litigation Partners to its Growing Practice Groups
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LOS ANGELES, May 6, 2021 /PRNewswire/ Renowned insolvency law, fiduciary and fraud litigation attorneys Kathy Bazoian Phelps (Los Angeles) and David Castleman (New York) have joined Raines Feldman LLP to expand its growing fiduciary, litigation and restructuring practice groups.
Co-author of
The Ponzi Book: A Legal Resource for Unraveling Ponzi Schemes, Kathy brings a deep experience and understanding to her cases which often include representing SEC appointed receivers in high-profile fraud cases.
Former Sullivan & Cromwell LLP attorney and Assistant Attorney General in the New York Investor Protection Bureau, Dave s practice focuses on representing federal equity receivers in disputes involving financial matters and complex litigation in state and federal courts. ....

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New Reg D Rule 506 Filing Rules For New York | Fox Rothschild LLP

New Reg D Rule 506 Filing Rules For New York | Fox Rothschild LLP
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February 1, 2021 Deadline: Mandatory Registration for New York Investment Advisers | Bressler, Amery & Ross, P.C.

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On December 1, 2020, the New York State Department of Law finalized proposed amended regulations to the New York Investment Advisory Act, 13 N.Y.C.R.R. Section 11, requiring investment adviser representatives (“IAR”) who engage in business within or from New York to register with the New York Investor Protection Bureau and meet certain exam requirements. Previously, New York state-covered IARs were not required to register like IARs in most other states by filing a Form U4 through FINRA’s CRD/IARD system. That meant that New York IARs were legally able to conduct business without providing the typical publically available disclosures to investors through the FINRA-operated Investment Adviser Public Disclosure (“IAPD”) website. ....

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New York Modernizes Issuer Filing Requirements for Rule 506 Offerings | McGuireWoods LLP

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On Dec. 1, 2020, the New York Department of Law modernized its dealer rules to more closely align with federal requirements for a Regulation D Rule 506 offering. Under the amended rules, an issuer conducting a Rule 506 offering in New York must file a copy of the federal Form D with New York’s Investor Protection Bureau in lieu of the pre-offer Form 99 filing previously required.
Amended Rules for Issuers Conducting Rule 506 Offerings
Effective Dec. 2, 2020, issuers conducting a private placement offering in compliance with Rule 506 of Regulation D promulgated by the Securities and Exchange Commission (SEC) in New York must file a copy of the federal Form D with New York’s Investor Protection Bureau within 15 days of the first sale within or from New York. ....

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