Category: Legal and Regulatory Updates
New SEC Action Will Make it Easier for Issuers to Conduct Private Offerings
In a 3-2 vote, the SEC has significantly amended its exempt offering rules to promote capital formation and expand investment opportunities while preserving or improving important investor protections. The amendments...
November 11, 2020
Tags: Private Funds, Private Offerings
SEC Examination Office Issues Risk Alert on Multiple Branch Offices
The SEC’s Office of Compliance Inspections and Examinations (OCIE) has issued a Risk Alert regarding staff observations from examinations of investment advisers operating from multiple branch offices. The Risk Alert...
November 12, 2020
Tags: Advertising Rule, Branch Office Supervision, Code of Ethics, Custody
IRS Makes Cost-of-Living Adjustments for Retirement Plans
The IRS has announced cost-of-living adjustments for retirement plans for the 2021 tax year. The adjustments do not change the IRA contribution and catch-up contribution limits for individuals 50 years...
November 24, 2020
Tags: IRS, Retirement Plans
FinCEN and the federal banking agencies have issued a joint fact sheet to provide clarity to banks on due diligence requirements in connection with charities and non-profit organizations. FinCEN’s press...
November 24, 2020
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