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6 Feb 2013, 9:10 am
The summary is not intended to be a comprehensive review of an Investment Adviser’s securities, tax, partnership, corporate or other annual requirements, nor an exhaustive list of all of the obligations of an Investment Adviser under the Investment Advisers Act of 1940, as amended (the “Advisers Act”) or applicable state law. [read post]
7 Jan 2014, 12:10 pm
The summary is not intended to be a comprehensive review of an Investment Adviser’s securities, tax, partnership, corporate or other annual requirements, nor an exhaustive list of all of the obligations of an Investment Adviser under the Investment Advisers Act of 1940, as amended (the “Advisers Act”) or applicable state law. [read post]
13 Jan 2015, 3:06 pm
The summary is not intended to be a comprehensive review of an Investment Adviser’s securities, tax, partnership, corporate or other annual requirements, nor an exhaustive list of all of the obligations of an Investment Adviser under the Investment Advisers Act of 1940, as amended (the “Advisers Act”) or applicable state law. [read post]
13 Jan 2015, 3:06 pm
The summary is not intended to be a comprehensive review of an Investment Adviser’s securities, tax, partnership, corporate or other annual requirements, nor an exhaustive list of all of the obligations of an Investment Adviser under the Investment Advisers Act of 1940, as amended (the “Advisers Act”) or applicable state law. [read post]
13 Jul 2021, 5:54 am
July 13, 2021 Clients, Friends, Associates: We hope that this message finds you well and that you are enjoying the first months of summer. [read post]
22 Dec 2020, 9:43 am
December 16, 2020 Clients, Friends, Associates: As we prepare for a new year, we also reflect on an eventful, sometimes chaotic, 2020, dominated by the emergence of the novel coronavirus (“COVID-19”). [read post]
4 Apr 2013, 6:48 pm
NFA Rule 2-46 requires each CPO member to file Form CPO-PQR on a quarterly basis. [read post]
26 Feb 2014, 11:15 am
Registered CPOs must also prepare and file their fourth quarter report for each commodity pool (Form CPO-PQR), and CTAs must file a quarterly Form CTA-PR within 45 days of the end of the quarter. [read post]
4 Jan 2017, 3:55 pm
Section 16 filings are required for “corporate insiders” (including beneficial owners of 10% or more of a registered voting equity security). [read post]
16 Apr 2020, 4:55 am
Wall Street and crypto veteran Caitlin Long recently announced a plan for Wyoming corporation, Avanti Financial Group Inc., to apply for a bank charter under Wyoming’s special-purpose depository institution law. [read post]
31 Dec 2019, 8:13 am
Below is our quarterly newsletter. [read post]
27 Oct 2017, 2:16 am
Below is our quarterly update that has distributed clients and friends. [read post]
20 Oct 2023, 2:40 pm
October 20, 2023 Clients, Friends, and Associates: As we end the third quarter and enter the fall season, we would like to highlight some of the recent industry updates and occurrences we found to be both interesting and impactful. [read post]
19 Apr 2024, 9:27 am
Additionally, we’re pleased to welcome Afruz Sayah as an Associate and Stephanie Cepeda as a Paralegal for the Corporate and Transactional practice group. [read post]
7 Oct 2021, 6:37 am
Non-fungible tokens (“NFTs”) have seen a massive surge in interest over the course of the last year, with large companies, including the Fox Corporation, who invested $100 million into a creators’ fund for NFTs, and Google Cloud, who recently partnered with the operator of a NFT marketplace network, entering the market. [read post]
20 Jul 2023, 10:44 am
Finally, we’re pleased to welcome Brett Bunnell as a Counsel and Thomas Gaffney as an Associate in our Corporate and Transactional practice group. [read post]
8 Dec 2021, 7:27 am
Registered CPOs must also prepare and file their fourth-quarter report for each commodity pool on Form CPO-PQR, while CTAs must file their fourth-quarter report on Form CTA-PR. [read post]
8 Dec 2021, 11:27 am
Registered CPOs must also prepare and file their fourth-quarter report for each commodity pool on Form CPO-PQR, while CTAs must file their fourth-quarter report on Form CTA-PR. [read post]
13 Dec 2024, 1:18 pm
. **** Q4 Matters Preliminary Injunction Enjoins Enforcement of the Corporate Transparency Act of 2021, as amended (the “Corporate Transparency Act”). [read post]
2 Oct 2024, 2:47 pm
October 3, 2024 Clients, Friends, and Associates: As we say goodbye to summer and welcome fall, we would like to highlight recent industry updates that we found interesting and impactful. [read post]
