Asset Management ADVocate
Asset Management ADVocate
The Asset Management ADVocate provides unique analysis and insight into legal developments affecting asset managers in the United States. Subscribe 🡢
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SEC Adopts Amendments to Expand Accredited Investor Definition
On August 26, 2020, the SEC adopted amendments to update the definition of "accredited investor" in Rule 501(a) of the Securities Act, adding new categories of individuals who may qualify as accredited investors based on measures of knowledge, experience, or certifications, and expanding the list of entities that can qualify as accredited investors.
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As Pandemic Lingers, SEC Has Not Forgotten About Advisers’ Share Class Selection and Compensation Practices
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FINRA Issues Guidance on Virtual Business Entertainment
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Re-Proposed Rule 18f-4: Commitment Agreements—Putting it all Together
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Re-Proposed Rule 18f-4: Features of Loan Commitments that May Prevent “Leveraging Effects"
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Re-Proposed Rule 18f-4: What Features of Loan Commitments May Preclude “Leveraging Effects”—Prepayments
Our last post used a comparison of loan commitments, which re-proposed Rule 18f-4 would trea
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Re-Proposed Rule 18f-4: Using Morphology to Delineate Commitment Agreements
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Re-Proposed Rule 18f-4: Unfunded Loan Commitments
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Re-Proposed Rule 18f-4: Why Some Commitment Agreements may not have “Leveraging Effects”
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Re-Proposed Rule 18f-4: Not Reinventing the Derivatives Wheel
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OCIE Issues Risk Alert on LIBOR Transition Preparedness
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FINRA and CFTC Staff Issue COVID-19 Advisories on Commodity-Linked ETPs and Funds
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New York State Proposes to Regulate “Finders” as Broker-Dealers
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SEC to Amend National Market System Plan Governing Consolidated Audit Trail
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