This statement is intended to assist market participants as they seek to comply with the federal securities laws and prepare to submit any necessary registrations, ...
The Advisory Agreements contained hedge clauses that purported to broadly limit Respondents’ liability. The language, when read in its entirety, is inconsistent with an adviser’s ...
Specifically, Engaged failed to disclose the conflicts created by its investment in the founders’ shares and private placement warrants
Here are seven FAQs from the SEC's Division of Investment Management to help you comply with the IA marketing rule
This proposal would greatly expand the AUM threshold for an investment adviser to qualify as a small entity for purposes of SEC rulemaking
The Commission decides to extend the compliance deadline for the de minimis exception from swap registrations from Nov. 8, 2026 to May 8, 2028
Rule 30–5(g)(8) will enable the IM director to authorize the issuance of orders under the Advisers Act to grant, deny, and revoke confidential treatment of ...
"The two-year delay will provide additional time for FinCEN to review the IA AML Rule and, as applicable, ensure the IA AML Rule is effectively ...
The Commission corrects errors on and amends Form N–CEN
These 8 FAQs were released in December 2025