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Publications

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

July 9, 2021

Jahan P. Raissi

Publications

SPAC PIPES AND MNPI COMPLIANCE (or, acronyms run amok)

March 24, 2021 | By: Jahan P. Raissi

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

Jahan P. Raissi

Publications

SEC Investment Adviser Enforcement Actions: “May” Might Be Materially Misleading & Insider Trading Policies

June 17, 2020 | By: Jahan P. Raissi

Joan Grant

Publications

Countdown to Form CRS, and New OCIE Risk Alert

April 20, 2020

Publications

Navigating the Coronavirus Crisis Together

April 9, 2020

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