SEC Issues Interim Updates to Whistleblower Procedures Commissioners Peirce and Roisman Take Issue The SEC adopted amendments to its Whistleblower Program rules in September 2020 that address the criteria for...
August 25, 2021
Increases in AUM, Net Worth Thresholds for Qualified Clients Effective Aug. 16 The inflation adjustments that increased the assets-under-management and net worth tests in the definition of “qualified client” under...
August 25, 2021
Gensler Directs SEC Staff to Review Proxy Advisory Firm Interpretation, Rule CorpFin Delays Enforcement Recommendations for Now; Two Commissioners Object In a highly anticipated move, SEC Chair Gary Gensler has...
August 25, 2021
SEC Approves Nasdaq’s Proposals Regarding Board Diversity
The SEC recently approved Nasdaq’s proposed rule changes requiring Nasdaq-listed companies, with certain exceptions, to disclose information regarding board diversity and offering certain companies access to a complimentary board recruiting service.
August 24, 2021
Increases in AUM, Net Worth Thresholds for Qualified Clients Effective Aug. 16
The inflation adjustments that increased the assets-under-management and net worth tests in the definition of “qualified client” under the Advisers Act became effective as of August 16, 2021.
August 24, 2021
Tags: Fees and Expenses
IAA, DACFP Partner to Offer Members Blockchain and Digital Asset Certificate Members Receive a $100 Discount, 13 CE Credits The Investment Adviser Association is pleased to announce a partnership with...
August 18, 2021