These are technical amendments to the accredited investor standard under Regulation D.
This is a 1997 no-action letter from the SEC to Lamp Technologies that covers use of a web site and advertising and solicitation of a ...
This is a 1998 no-action letter from the SEC to Lamp Technologies. This follows on a 1997 no-action letter, also to Lamp Technologies, that also ...
This is a 2012 final rule from the SEC amending the rules for performance-based fees by advisers, another change sparked by the Dodd-Frank reform law.
Investment Advisers Act of 1940 — Sections 203(a) and 208(d) American Bar Association, Business Law Section January 18, 2012 RESPONSE OF THE OFFICE ...
This is an SEC final rule adjusting its standard for an accredited investor to fit with Dodd-Frank rule changes. This was released in December 2011.
This is the 2011 final rule from the SEC laying down the rules for advisers to private funds, some commodity pool operators and trading advisers ...
This is the SEC's decision in 2011 on what to charge exempt-reporting and private fund advisers to report via IARD their Form ADV and Form ...
The SEC's Division of Investment Management assured Morgan Stanley last week that it wouldn't recommend enforcement action if its investment advisory firm participated in an ...