Anastasia T. Rockas

Aug 29, 2023 | lexology.com | John Caccia |Gregory Norman |Anastasia T. Rockas |Heather Cruz |Anna Rips |David Jain

On August 23, 2023, the Securities and Exchange Commission (SEC) voted 3-2 to adopt a final set of rules and amendments under the Investment Advisers Act of 1940 (collectively, the Final Rules) that significantly expand the regulatory compliance requirements for certain investment advisers.

Aug 23, 2023 | lexology.com | Heather Cruz |Anna Rips |Anastasia T. Rockas |David Jain

On August 23, 2023, the Securities and Exchange Commission (SEC) voted 3-2 to adopt a final set of rules and amendments under the U.S. Investment Advisers Act of 1940 (collectively, the Final Rules) that significantly expand the regulatory compliance requirements for certain investment advisers. The Final Rules impact:Registered investment advisers. Exempt reporting advisers. Private advisers. Investment advisers that would not otherwise be required to register with the SEC.