Defining Crypto’s Security Status
On March 21, the SEC kicked off its “Spring Sprint Toward Crypto Clarity” series with a roundtable on the status of crypto assets under federal securities laws. Here are some key takeaways.
March 28, 2025
The SEC issued no-action relief for issuers conducting private placements under Rule 506(c) to verify accredited investor status.
March 25, 2025
SEC Issues Marketing Rule Relief in Response to IAA Advocacy
In response to IAA advocacy, the SEC Division of Investment Management staff issued new FAQs that address net performance questions under the Marketing Rule.
March 20, 2025
SEC Extends Compliance Date for Fund Names Rule
The SEC announced a six-month extension of the compliance dates for the Investment Company Act amended “Names Rule” which addresses fund names that may mislead investors.
March 17, 2025
Tags: Mutual Funds, Names Rule
SEC to Host Roundtables on Crypto and AI, AI Also Discussed at Investor Advisory Committee
The SEC is holding public roundtables in March on crypto assets and artificial intelligence.
March 06, 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
SEC Commissioner Peirce Outlines New Approach to Crypto Regulation
SEC Commissioner Hester Peirce issued her first policy statement since being appointed to lead the Commission’s new Crypto Task Force.
February 07, 2025
Tags: Cryptocurrency, Hester Peirce
IAA Presents Top Regulatory Priorities for the New Administration
The IAA’s top recommendations for regulatory and policy actions that the SEC should prioritize in the first days of the new administration.
January 31, 2025
Tags: AML, Custody, Marketing, Pay-to-Play
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
Tags: Hedge Funds, orm PF, Private Equity, Private Funds
SEC staff issues Fund Names Rule FAQs covering new 2023 rule amendments.
January 14, 2025
Tags: Mutual Funds, Names Rule