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Upcoming Compliance Deadline for SEC Marketing Rule Compliance

September 22, 2022

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Proposed Inflation Reduction Act of 2022

August 2, 2022

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SEC Proposes Fundamental Changes to Private Fund Regulation

April 1, 2022

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Annual Letter: 2022

January 13, 2022

Publications

SEC Raises “Qualified Client” Net Worth Threshold Effective August 16, 2021

July 9, 2021

Publications

New SEC Marketing Rule for Investment Advisers

February 12, 2021

Publications

Annual Letter: 2021

January 8, 2021

Publications

Upcoming SEC Seminar for Investment Advisory CCOs and Other Senior Personnel

October 27, 2020

Publications

Form BE-180, 2019 Benchmark Survey of Financial Services Transactions Between U.S. Financial Services Providers and Foreign Persons

October 14, 2020

Publications

New SEC Accredited Investor Categories and Rule 144A Amendments

September 21, 2020

Get In Touch

For questions, inquiries, or more information, please don’t hesitate to contact us—we’re here to help.

For General & Media Inquiries

James Schwarz

Chief Operating Officer

Shartsis Friese Earns Numerous Rankings on 2026 Best Law Firms List

Chambers High Net Worth Guide Recognizes Shartsis Friese Family Wealth Group

Securing A Bench Trial In Cases Involving Both Legal And Equitable Claims

Hurricane Protection Straps Suit Blown Out Of Court

Upcoming Compliance Deadline for SEC Marketing Rule Compliance

Proposed Inflation Reduction Act of 2022

SEC Proposes Fundamental Changes to Private Fund Regulation

Annual Letter: 2022

SEC Raises “Qualified Client” Net Worth Threshold Effective August 16, 2021

New SEC Marketing Rule for Investment Advisers

Annual Letter: 2021

Upcoming SEC Seminar for Investment Advisory CCOs and Other Senior Personnel

Form BE-180, 2019 Benchmark Survey of Financial Services Transactions Between U.S. Financial Services Providers and Foreign Persons

New SEC Accredited Investor Categories and Rule 144A Amendments

Get In Touch

For General & Media Inquiries

James Schwarz