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Steven Robert Blau
Insights 24 results
Client Alert
April 14, 2025
OCC Clarifies Crypto-Asset Guidance
Client Alert
March 28, 2025
New Marketing Rule FAQs Facilitate Compliance on Net Performance
Client Alert
March 20, 2025
SEC Staff No-Action Letter Eases Rule 506(c) Accredited Investor Verification
Article · Source: Practising Law Institute
December 4, 2024
Practising Law Institute's Broker Dealer Regulation Treatise
Article · Source: Mondaq
November 15, 2024
What Does A Second Trump Administration Mean For The Private Funds Industry?
Client Alert
November 13, 2024
What Does a Second Trump Administration Mean for the Private Funds Industry?
Client Alert
September 9, 2024
FinCEN Issues Final Rule Expanding Anti-Money Laundering/ Countering the Financing of Terrorism Requirements for Investment Advisers
Client Alert
June 7, 2024
Fifth Circuit Vacates Private Fund Adviser Rules
Article · Source: Corporate Compliance Insights
March 4, 2024
SEC Broadens Definition of ‘Dealer’
Article · Source: Law360
February 28, 2024
How Broker-Dealers Can Prepare For New Remote Work Rules
Client Alert
February 9, 2024
SEC Adopts Rules Requiring Certain Trading Entities, Including Certain Investment Advisers and Private Funds, to Register as Broker-Dealers
Client Alert
February 8, 2024
SEC Approves FINRA Supervisory Control Rules Expanding Remote Work Options for Broker-Dealers