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Articles by Leslie A. Pinney
SEC And CFTC Extend Form PF Compliance Date Again
On June 11, 2025 the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) again extended the compliance date for the most recent Form PF amendments, providing a near four-month reprieve for firms struggling with implementation.1 This extension, providing for an October 1, 2025 compliance date, pushes back implementation by a total of nearly seven months from the original March 12, 2025 deadline.
SEC and CFTC Extend Form PF Compliance Date Again | JD Supra
On June 11, 2025 the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) again extended the compliance date for the most recent Form PF amendments, providing a near four-month reprieve for firms struggling with implementation.[1] This extension, providing for an October 1, 2025 compliance date, pushes back implementation by a total of nearly seven months from the original March 12, 2025 deadline.
SEC Settlement Highlights Importance Of Proper Disclosure Requirements For Private Fund Managers
On January 10, 2025, the Securities and Exchange Commission (SEC) settled charges against two fund managers (collectively the "Fund Managers")1 and their sole owner, chief executive office, chief compliance office, and founder (the "Founder")2. The SEC alleged the Founder and the Fund Managers had breached their fiduciary duties owed to the private equity funds managed by the Fund Managers (the "Private Funds") and related compliance program deficiencies.
SEC Settlement Highlights Importance of Proper Disclosure Requirements for Private Fund Managers
On January 10th 2025, the Securities and Exchange Commission (SEC) settled charges against two fund managers (collectively the “Fund Managers”)[1] and their sole owner, chief executive office, chief compliance office and founder (the “Founder”)[2]. The SEC alleged the Founder and the Fund Managers had breached their fiduciary duties owed to the private equity funds managed by the Fund Managers (the “Private Funds”) and related compliance program deficiencies.
Proposed Amendments Schedule 13D – Part One | JD Supra
In February 2022, the Security and Exchange Commission (the “SEC”) proposed an amendment (the “Amendment”) to Schedules 13D and 13G of the Securities Exchange Act of 1934, to modernize its reporting rules and ultimately to speed up the rate at which information is made available to the public. As of this post, rule changes have not been adopted, but the SEC’s stated dated for final action, April 2023, is fast approaching.
Proposed Amendments Schedule 13D - Part Two | JD Supra
As noted in our related blog post, the Security and Exchange Commission (the “SEC”) has proposed amendments (the “Amendment”) to Schedules 13D and 13G of the Securities Exchange Act of 1934, to modernize its reporting rules and improve the speed and substance of the information made available to the public. As of this post, rule changes have not yet been adopted, but the SEC’s stated dated for final action, April 2023, is fast approaching.
The SEC Signals it is Ready to Enforce the New Marketing Rules | JD Supra
On September 19, 2022, the Securities and Exchange Commission (the "SEC") increased its pressure on private funds and their need to get into full compliance with the new Marketing Rule (Rule 206(4)-1) within the next month and a half. The SEC originally published the new rule in March 2021 with a compliance date of November 4, 2022 to modernize and replace a patchwork or old rules and no-action letters that have been in place for over 60 years.
SEC Adopts Amendments to Proxy Voting Advice Regulations | JD Supra
On July 13, 2022, the Securities and Exchange Commission (the “SEC”) finalized rule amendments (the “Amendments”), proposed in November 2021, updating regulations governing proxy voting advice.
Form PF Changes Ahead – The SEC Keeps Its Focus On Private Fund Advisers - Corporate/Commercial Law - United States
United States: Form PF Changes Ahead – The SEC Keeps Its Focus On Private Fund Advisers 09 February 2022 by Stephen M. Meli , Leslie A. Pinney , Kevin C. McNiff and John Fahey Foley & Lardner Your LinkedIn Connections with the authors To print this article, all you need is to be registered or login on Mondaq.com. On January 26, 2022, the Securities and Exchange Commission ("SEC") voted 3-1 to propose amendments to Form PF1.
Observations from Examinations of Private Fund Advisers | JD Supra Original
On June 23, 2020, the U.S. Securities and Exchange Commission (SEC) Division of Examinations (EXAMS) issued a risk alert based on 5 years of examinations of registered investment advisers that manage private equity funds or hedge funds (collectively, “private fund advisers”).1 On January 27, 2022, the EXAMS staff issued a follow up report detailing additional compliance issue observations: (A) failure to act consistently with disclosures; (B) use of misleading disclosures regarding...
Private Equity And Hedge Funds Should Expect More SEC Scrutiny Ahead
United States: Private Equity And Hedge Funds Should Expect More SEC Scrutiny Ahead 19 November 2021 by Stuart E. Fross , Michelle Nunez and Leslie A. Pinney Foley & Lardner Your LinkedIn Connections with the authors To print this article, all you need is to be registered or login on Mondaq.com. Last week, SEC Chair Gary Gensler gave the keynote speech for the 2021 Institutional Limited Partners Association's virtual summit.
Private Equity and Hedge Funds Should Expect More SEC Scrutiny Ahead | JD Supra
Last week, SEC Chair Gary Gensler gave the keynote speech for the 2021 Institutional Limited Partners Association’s virtual summit. Gensler focused his remarks exclusively on private funds and detailed his view that private equity and hedge funds need more scrutiny and regulation.
SBA Loans Under the CARES Act - Updated
The Coronavirus Aid, Relief, and Economic Security Act (“CARES Act”), signed into law on Friday March 27, 2020, introduces the Paycheck Protection Program (the “PPP”) with $349 billion in funding and the goal of preventing job loss and small businesses failure due to losses caused by the COVID-19 pandemic.
Managing the Commercial Impact of the Coronavirus: Small Business Administration Loan Program | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
Report from OESA Meeting: 2019 Automotive Market Outlook and Connectivity Trends | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
Report from OESA Meeting: 2019 Automotive Market Outlook and Connectivity Trends
March 11, 2019 CFPB does not seek lifting of stay of compliance date for payday loan... by: Jeremy T. Rosenblum OFCCP Provides Anticipated Guidance On Section 503 Focused Reviews by: Guy Brenner Texas Supreme Court Closes the Door to Transactional Fraud Claims... by: Daniel D. McGuire and Michael M. Besser DOL’s Long-Awaited Overtime Proposed Rule Announced by: Sadina Montani and Monique E. Chase New Jersey on the Forefront of Consumer Privacy and Security Law by: Jason C. Gavejian and Mary T.
The Impact of a No-Deal Brexit Outcome | JD Supra
JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations. This Privacy Policy describes how JD Supra, LLC ("JD Supra" or "we," "us," or "our") collects, uses and shares personal data collected from visitors to our website (located at www.jdsupra.com) (our "Website") who view only publicly-available content as well as subscribers to our services (such as our email digests or author tools)(our "Services").
How No-Brexit Deal Impacts the Auto Industry
On October 17, 2018, politicians expected to finalize Brexit terms at a 24-hour summit of European Union leaders in Brussels. Had things gone to plan, a special one-off meeting in November was all that remained to sign the final Brexit deal between the European Union and the United Kingdom. But the October summit fell apart. Seemingly unresolvable issues, over what would happen with the border between Ireland and Northern Ireland, could not be overcome.
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