"Changing the accredited investor definition to prevent more Americans from investing in private markets, as some suggest, could devastate these networks"
"Moreover, it assumes that net worth and annual income are the appropriate metrics for assessing an individual’s ability to invest in private offerings"
This final rule governs investments by SEC staff, to avoid conflicts of interest
These new SEC final rules would require a minimum dissemination period for the distribution of security holder communication materials in connection with de-SPAC transactions, along ...
"investor interest in ESG has also led to significant growth in investment advisers offering ESG-branded investment products. This can also lead to situations where a ...
It's a confirmed best practices to read through recent DOE exam request letters to help you prepare for your next SEC exam
Here's another SEC exam request letter shared with RCW by a source
This sounds counter-intuitive because the unvarnished truth could steer clients away from the product, but “whatever else you say, tell them all of the bad ...
You may be tempted to note February as the month of FinCEN when it comes to new regulations potentially affecting your firm. The latest proposal ...
Guidance to craft winning disclosures for complex products, looking at some of the most challenging aspects of the new PF rules, another surprise proposal targeting ...