On July 12, 2011 the SEC raised the thresholds governing whether an investment adviser can charge clients performance fees. Under the order, implementing Dodd-Frank rules, an investment adviser will be
SEC Readopts Rule on Beneficial Ownership Reporting Requirements & Security Based Swaps
The SEC readopted, without change, the relevant portions of existing rules that govern beneficial ownership determinations under Sections 13 and 16 of the Securities Exchange Act of 1934. The SEC acted