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New Era of Private Fund Adviser Reforms (Update)

December 19, 2023

‍Private Fund Rule Repeal On June 5, 2024 the New Orleans-based 5th Circuit Court of Appeals, in a 3-0 decision, found that the SEC exceeded its authority by adopting the Private Fund Rule in August of 2023. As of June 6, 2024, An SEC spokeswoman said the regulator is reviewing the decision and will determine […]

Municipal Market (MSRB) Rule Changes

December 6, 2023

Municipal markets play a crucial role in financing local governments and infrastructure projects across the United States. These markets have a rich history, and their regulation has evolved over the years to ensure transparency and fairness. Today, the regulatory framework for municipal markets is more comprehensive and transparent than ever before. The Municipal Securities Rulemaking […]

Optimizing Compliance: Registration Renewal

November 21, 2023

Leverage Registration Renewal For Oversight Of Registered Representatives and Branch Offices As the year ends, broker-dealers and investment advisors should begin to focus on the renewal process for their firm, registered representatives (RRs) and/or investment adviser representatives (IARs), and branch offices for the following calendar year. Broker-dealers and investment advisors should have written policies and […]

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New Era of Private Fund Adviser Reforms (Update)

Municipal Market (MSRB) Rule Changes

Optimizing Compliance: Registration Renewal

Bill Reilly