Search results 54 items matching your search terms. Filter the results Item type Select All/None EasyForm Bill Folder Event Webinar Collection Blog Post case note Image Link File Material Content Base opinion Page News Item Committee New items since Yesterday Last week Last month Ever Sort by relevance date (newest first) alphabetically H.S. Dent Investment Management L.L.C., §5.H; Rule 109.6, 7/1/2002 by Portal Admin — last modified Nov 15, 2022 09:42 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee §5.H exemption under former Rule 109.3 [now 109.6] not available for advice provided to registered investment advisers unless such investment advisors are also ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters SEC increases Emerging Growth Company Revenue Threshold, leaves Crowdfunding threshold unchanged. by Securities Law Committee — published Sep 20, 2022 — last modified Jan 08, 2023 10:09 PM — filed under: Securities Law Committee, Main News Per the attached release, the SEC has increased the Emerging Growth Company maximum revenue threshold to $1,235,000,000. The Crowdfunding threshold is ... Located in Committees / … / Securities Law Committee Resources / News SEC report says SEC Ombudsman neglected duties by admin — published Sep 19, 2022 — last modified Sep 23, 2022 10:17 PM — filed under: Securities Law Committee, Main News Findings Related to the Former SEC Ombudsman The U.S. Securities and Exchange Commission (SEC) Office of Inspector ... Located in Committees / … / Securities Law Committee Resources / News SEC Risk Alert on Investment Adviser Rule by Securities Law Committee — published Sep 22, 2022 — last modified Sep 23, 2022 10:20 PM — filed under: Securities Law Committee, Main News The SEC issued a risk alert on Monday (attached) about the new SEC’s Investment Adviser marketing rule, which becomes effective on November 4, 2022. It is ... Located in Committees / … / Securities Law Committee Resources / News < Previous 10 items 1 ... 3 4 5 6 Subscribe to an always-updated RSS feed.