News & Insights
This article provides an overview comparing exempt reporting advisers (ERA) to registered investment advisers (RIA), including information such as how to become an ERA or an RIA and how to comply with both the federal and state securities regulators.
Source: www.bna.com/bloomberglaw/
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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.