New SEC Adviser Marketing Rule Merges Advertising and Solicitation Rules
On December 22, 2020, the SEC released its much awaited advertising and solicitation rule amendments, merging both rules together to...
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Transitioning to 2021: Impact of Biden-Harris Administration on Financial Regulation
I recently co-authored a Law360 article on the upcoming change in U.S. presidential administration, including its impact on financial...
SEC Proposes to Raise Form 13F Threshold from $100 million to $3.5 billion
On July 10, 2020, the SEC proposed to increase the reporting threshold for Form 13F filings. Since 1975, institutional investment...
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