The SEC issued no-action relief for issuers conducting private placements under Rule 506(c) to verify accredited investor status.
March 25, 2025
IAA Tracker – 6 Weeks into the Trump Administration
The IAA highlights the developments for investment advisers to help members keep track of the fast-moving changes under the new administration.
March 04, 2025
Form PF Amendments Compliance Date Extended to June 12, 2025
Updated Form PF filing dates for quarterly hedge fund filers and annual filers.
January 31, 2025
SEC Committee Discusses Arbitration, Alternative Assets, and Finfluencers
The SEC’s Investor Advisory Committee discussed arbitration clauses, retail investor access to alternative assets, and financial influencers.
December 13, 2024
Court Vacates Private Fund Adviser Rules, Including Compliance Rule Documentation
The Fifth Circuit Court of Appeals vacated the entire final rule package of the private fund adviser rules (Final Rule). All rules in the package, Private Fund Adviser Audits, Private Fund Quarterly Statements, Private Fund Adviser Restricted Activities, Adviser-Led Secondaries, and Preferential Treatment – are vacated.
June 05, 2024
New IAA Resources – Private Fund Adviser Rules & Form PF
The IAA is excited to announce that we have developed and curated compliance resources for IAA members in a new Private Funds/Form PF Hub webpage devoted to the SEC’s new private fund adviser and Form PF rules.
May 08, 2024
Office of Investor Advocate Presents Policy Objectives
The SEC’s Office of the Investor Advocate has published its policy objectives for the 2024 fiscal year.
August 03, 2023
Private Fund Adviser Charged for Excessive Fees and Conflict Disclosure
SEC charges private fund adviser for miscalculating and not disclosing fees related to permanent impairment criteria.
July 27, 2023
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