On August 23, 2023, the SEC unveiled the most sweeping reforms impacting advisers to private funds since the passage of the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act. These rules will profoundly impact both those advisers registered with the SEC...

Introduction On August 23, 2023, the Securities and Exchange Commission (the “SEC”) adopted several new and amended rules under the Investment Advisers Act of 1940, as amended (the “Advisers Act”) to implement several changes to the business practices of private fund...

RLG partner Gary J. Ross was on the faculty of the American Legal Institute’s CLE conference Regulation D Offerings and Private Placements, held in Scottsdale, Arizona from March 16 – 18, 2023.  Gary spoke at six of the 14 sessions, including Offerings to...

A contingent of CEOs from the country of Mongolia visited Ross Law Group on March 8, 2023.  RLG attorneys Lony Leung, Matt Winkel and Gary J. Ross chatted with the CEOs about the laws in the U.S. applicable to non-U.S. companies raising capital from U.S....

RLG partner Gary J. Ross, the current ABA Editorial Board Producer for Securities Law, put together, moderated and participated in the panel “ABCs of IPOs: Guide for Issuer’s Counsel” for the American Bar Association on February 23, 2023.  The presentation was...

tZERO, a leader in financial digital innovation, visited Ross Law Group’s Midtown Manhattan offices on August 30, 2022 to discuss its secondary liquidity and primary offering platform, the current state of crypto and blockchain, and answer questions from the RLG team.

Gary J. Ross gave a CLE presentation on May 24, 2022, as part of the Washington State Bar Association event The Future of Finance is Now: Blockchain, NFTs, Cryptocurrency, and the Role of Digital Assets. Gary’s presentation was titled “Investing in Digital Assets:...

Ross Law Group, PLLC hosted a group of graduate students from IE Business School in Madrid on May 20, 2022. RLG team members, including Rohan Maitra and Robert Lee, gave presentations and answered questions regarding U.S. securities law, fund structures and...

After spending seven wonderful years at 75 Maiden Lane, Ross Law Group, PLLC has made the move uptown to 1430 Broadway (at 40th Street). The new office is near Bryant Park and Times Square and is almost exactly twice as large as the old office, and is also – for the...

RLG partners Andy Feldman and Mark Strefling taught a CLE class on "Investment Adviser Regulatory Landscape: Current and Emerging Compliance Priorities" for ProLawCLE. They noted that with a new SEC chair appointed by the Biden administration, attorneys and compliance...

Gary J. Ross put together and moderated the panel "The Regulation A+ Alternative (to Reg D or an IPO)" for the American Bar Association Business Law Section Virtual Spring Meeting. The presentation was co-sponsored by the Federal Regulation of Securities and the...

Gary J. Ross participated in a CLE webinar for the American Bar Association examining the existing regulatory framework around “restricted securities,” and the avenues available for their sale, including the Rule 144 safe harbor and other exemptions. Gary discussed...