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Viewing results for: Mark Strefling
September 29, 2026
Special Purpose Vehicles in Focus: Regulatory and Legal Traps for Managers
May 27, 2026
SEC Final Order Increasing "Qualified Client" Thresholds Under Rule 205-3 of the Investment Advisers Act
May 21, 2025
SEC’s EDGAR Next: Your Next Steps
January 21, 2025
Client Alert - SEC Rule 13f-2 and Form SHO – Applicability to Smaller Managers
December 6, 2024
2025 SEC Examination Priorities: A Look Ahead at Key Compliance and Risk Areas
October 7, 2024
CFTC Finalizes Amendments to Regulation 4.7: Increasing QEP Thresholds and Streamlining Compliance for CPOs
July 17, 2024
New SEC Amendments to Regulation S-P
April 30, 2024
SEC Issues Risk Alert on Marketing Rule Compliance
October 26, 2023
SEC Enforcement Activity at End of 2023