Publications

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Article Title Publication Date
SEC Risk Alert on New Marketing Rule BulletPoint September 21, 2022
Senate Democrats Propose Carried Interest Tax Reform GlobalNote August 1, 2022
Podcast: Preparing for the SEC's New Marketing Rule Other Publications July 8, 2022
Recent SEC ESG-Related Actions Impacting Investment Advisers and Investment Funds BulletPoint June 10, 2022
What are the SEC Examination Priorities for 2022? BulletPoint April 14, 2022
SEC Proposes Significant Changes to Regulation of Private Fund Advisers BulletPoint March 11, 2022
Form SHC (U.S. Ownership of Foreign Securities): Friday, March 4th filing deadline BulletPoint March 2, 2022
SEC increases monetary thresholds for “qualified clients” BulletPoint July 7, 2021
Alternatives Watch releases Finding the ‘S’ in ESG report Other Publications June 29, 2021
Proposed SEC Exemption Offers Much‑Needed Clarity on Use of Finders to Raise Investment Capital Other Publications January 14, 2021
OCIE Publishes Observations from Examinations of Private Fund Advisers BulletPoint July 9, 2020
Coronavirus Regulatory Round-Up for Investment Advisers BulletPoint June 29, 2020
Investment Fund Seeding – Structures and Negotiable Terms BulletPoint June 22, 2020
Paycheck Protection Program: Considerations for Investment Advisors E-Alert April 28, 2020
Coronavirus Update – SEC Provides Relief From Certain Schedule 13F and 13G Filing Requirements  BulletPoint March 31, 2020
CARES Act Provides Tax Relief for Businesses GlobalNote March 31, 2020
Coronavirus Update - SEC Issues Limited Form ADV and Form PF Filing Relief to Private Fund Managers BulletPoint March 20, 2020
Coronavirus Update: SEC Releases Form ADV and Custody Rule FAQs in Response to “Work from Home” Arrangements BulletPoint March 20, 2020
SEC Approves Regulation Best Interest BulletPoint June 10, 2019
Treasury clarifies the qualified opportunity zone program with additional guidance GlobalNote April 2019

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