Accredited Investor Archives

SEC Small Business Advisory Committee Discusses Accredited Investor and Diversity in the Investment Process

The SEC’s Small Business Capital Formation Advisory Committee met to discuss the definition of “accredited Investor” and diversity in the investment process.

December 01, 2023

Tags: Accredited Investor, Diversity

IAA Priorities Advanced by House Financial Services Committee

IAA priorities to alleviate the regulatory burdens on smaller advisers, expand the definition of accredited investor, and allow e-delivery of disclosure documents were advanced by the House Financial Services Committee.

May 02, 2023

Tags: Accredited Investor, E-Delivery, House Financial Services

House Financial Services Committee Holds Hearing on “Accredited Investor” Definition

The hearing focused on proposals to expand the pool of accredited investors.

February 13, 2023

Tags: Accredited Investor, House Financial Services

House Hearing Planned on Expanding Definition of Accredited Investor

An upcoming House Financial Services hearing will focus on expanding the definition of "accredited investor" to provide greater opportunities for retail clients to invest in Regulation D private offerings.

February 03, 2023

Tags: Reg D, Accredited Investor, House Financial Services

Federal Agencies Release Spring 2021 Regulatory Agendas

Federal Agencies Release Spring 2021 Regulatory Agendas Focus on ESG Disclosure, Custody, Proxy Voting, Cross-Trading, Money Market Funds June 16, 2021 Federal agencies recently released the spring 2021 update...

June 16, 2021

Tags: Accredited Investor, CFTC, Custody, DOL, ESG, Marketing Rule, Money Market Fund, Proxy Voting, Regulatory Agendas, SEC Investment Management

SEC’s Lee Tackles Climate & ESG Disclosure, Data Collection, Private Market Reforms

SEC’s Lee Tackles Climate & ESG Disclosure, Data Collection, Private Market Reforms May 25, 2021 SEC Commissioner Allison Herren Lee continued to lay out her views on climate- and...

May 25, 2021

Tags: Accredited Investor, Allison Herren Lee, Climate, ESG, Private Offerings

SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress

SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress Faults Form CRS Investor Testing, Calls for Reversal of Proxy, Derivatives, Exempt Offerings Rules January 13, 2021 ...

January 13, 2021

Tags: Accredited Investor, Allison Herren Lee, Caroline Crenshaw, Derivatives, ESG, ETFs, Form CRS, Private Offerings, Proxy Advisory Firms, Proxy Voting, Rick Flemming, SEC Investor Advocate

SEC Proposes Amendments to Broaden the Accredited Investor Definition

SEC Proposes Amendments to Broaden the Accredited Investor Definition December 18, 2019 By a 3-2 vote, the SEC has proposed amending the definition of “accredited investor” in Regulation D...

December 18, 2019

Tags: Accredited Investor, QIB

IAA to SEC: Expand Accredited Investor, QIB Definitions to Include Discretionary Clients of SEC-Registered Advisers

IAA to SEC: Expand Accredited Investor, QIB Definitions to Include Discretionary Clients of SEC-Registered Advisers March 23, 2020 The IAA recently submitted a comment letter to the SEC in...

March 23, 2020

Tags: Accredited Investor, QIB

IAA Urges SEC to Expand, Simplify Access to Exempt Offerings

IAA Urges SEC to Expand, Simplify Access to Exempt Offerings June 3, 2020 The IAA is calling on the SEC to expand access to the private markets and make...

June 03, 2020

Tags: Accredited Investor, Exempt Offerings, Private Offerings, QIB

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