by Ara Jabrayan | Apr 27, 2021 | Office of Compliance Inspections and Examinations (OCIE), RIA Compliance, SEC Cybersecurity, SEC Investment Adviser Compliance, SEC Rules, Uncategorized
2020 was a busy year for the SEC’s Office of Compliance Inspections and Examinations. On November 19, 2020, Peter Driscoll, Director of the SEC’s Office Compliance Inspections and Examinations (OCIE), gave a speech at the National Investment Adviser/Investment Company... by Ara Jabrayan | Apr 26, 2021 | accredited investor, SEC Rules
On August 26, 2020, the SEC expanded the definition of “accredited investor,” which is one of the primary tests for determining who is eligible to participate in private capital markets. The SEC’s final rule can be found HERE. According to Chairman Jay Clayton of the... by Ara Jabrayan | Sep 20, 2020 | Code of Ethics, Uncategorized
On August 26, 2020, the SEC expanded the definition of “accredited investor,” which is one of the primary tests for determining who is eligible to participate in private capital markets. The SEC’s final rule can be found HERE...
Recent Comments