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New SEC Accredited Investor Categories and Rule 144A Amendments

September 21, 2020

Publications

Countdown to Form CRS, and New OCIE Risk Alert

April 20, 2020

Publications

Navigating the Coronavirus Crisis Together

April 9, 2020

Publications

SEC Publishes Interpretation of Investment Advisers’ Fiduciary Duty and Adopts Rules and Interpretations for Financial Professionals and their Retail Clients

June 24, 2019 | By: Christina Mickelson Hamilton

Publications

Opportunity Zones

October 31, 2018

Publications

Reminder of NAV Decline Triggers

February 9, 2018

Publications

Demystifying Private Placement Laws – Part 2: Blue Sky Laws

June 8, 2016 | By: James J. Frolik and Christina Mickelson Hamilton

Publications

Demystifying Private Placement Laws – Part 1: Reg D and other Federal Laws and Regulations

June 1, 2016 | By: James J. Frolik and Christina Mickelson Hamilton

Publications

California Adopts Final Custody Rule

February 6, 2014

Publications

Rule 506 “Bad Actor” Disqualification from 506 Safe Harbor

September 19, 2013

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

New SEC Accredited Investor Categories and Rule 144A Amendments

Countdown to Form CRS, and New OCIE Risk Alert

Navigating the Coronavirus Crisis Together

SEC Publishes Interpretation of Investment Advisers’ Fiduciary Duty and Adopts Rules and Interpretations for Financial Professionals and their Retail Clients

Opportunity Zones

Reminder of NAV Decline Triggers

Demystifying Private Placement Laws – Part 2: Blue Sky Laws

Demystifying Private Placement Laws – Part 1: Reg D and other Federal Laws and Regulations

California Adopts Final Custody Rule

Rule 506 “Bad Actor” Disqualification from 506 Safe Harbor

Get In Touch

For General & Media Inquiries

James Schwarz