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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RLG partner Gary J. Ross again served as the Planning Co-Chair and a faculty member of the American Legal Institute’s annual CLE conference Regulation D Offerings and Private Placements, held in Scottsdale, Arizona from April 24 – 25, 2025. Gary planned and spoke at...
On December 2, 2024, RLG attorneys Gary Ross and Matt Winkel presented a program for Lawline entitled, “Setting Up 3(c)(1) and 3(c)(7) Parallel Funds: Why To Do It, When To Do It and How To Do It.” Gary and Matt went in-depth into the Section 3(c)(1) and 3(c)(7)...
RLG partner Gary J. Ross served as the Planning Co-Chair and was again on the faculty of the American Legal Institute’s annual CLE conference Regulation D Offerings and Private Placements, held in Scottsdale, Arizona from March 14 – 15, 2024. Gary spoke at seven of...
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...