Practus Perspective is a periodic journal of Practus news and viewpoints across a range of legal issues.



SEC Modernizes Accredited Investor & QIB Definitions

August RAC Report Recap | Knicole Emanuel

Partner, John Grady’s Interview on NASDAQ Trade Talks

OCIE Issues Risk Alert About Compliance in the COVID-19 Era

SEC Proposed Amendments to Section 13(f) Reporting Requirements

The US Department of Labor’s new “Investment Duties” rule

SEC Sanctions Affiliated Advisers for Error Correction, Fund of Investment Violations

SEC Adopts Amendments to Exemptive Applications Procedures

SEC Adopts Securities Offering Reform for Closed-End Investment Companies

SEC Extends In-Person Board Meeting Relief

SEC Staff Withdraws Prior No-Action Letter

Pressure Mounts on SEC to Set Standards

Read Ethan Corey’s Article in the May edition of The Investment Lawyer

The New Normal

Practus Sees Tremendous Growth at Two-Year Mark

Risk Management and Marketing during COVID-19

SEC Proposes to Modernize Framework for Fund Valuation Practices

Life Insurance Post COVID-19

Making Long-Term Remote Arrangements Benefit our Clients

Applying Client Standards in COVID-19 Environment

COVID-19 Long Term Challenges on Life Insurers

COVID-19 Implications on the Life Insurance Industry

Taking the @Home Practice of Law to the Next Level

OCIE Publishes Reg BI, Form CRS Risk Alerts

What’s in a Name? SEC Explores Improving Rules for Socially Responsible Investments

COVID 19 Relief

Practicing Law from Home in the Time of Coronavirus

T&M Issues Regulation Best Interest FAQs

OCIE Issues 2020 National Examination Program Priorities

Four New Team Members Join Practus

SEC Proposes Amendments to “Accredited Investor” and “Qualified Institutional Buyer” Definitions

SEC Reproposes Fund Derivatives Rule; Proposes New Sales Practices Rules Governing Trading In Certain Leveraged Investments

Philadelphia Office of Practus Co-Hosts “2020 Starting Line” Event

5 Year-End Tax Tips for 2019

SEC Proposes Amendments to Investment Adviser Advertising and Solicitation Rules

Tips to Keep in Mind When Setting up a Solo Law Practice

SEC Staff Extends SIFMA No-Action Letter for 3 Years

SEC Issues New ETF Rule and Adopts Form Amendments

Email Ad Infinitum: Rightsizing the Time You Invest in Your Inbox

Technology is Reshaping the Workplace: Will Law Firms be Left Behind?

Is Working Remotely Right for You: A Guide for Lawyers

IM Issues ADI Highlighting Fee and Performance Issues

FINRA Notice Addresses Disclosure Innovations in Advertising and Other Public Communications

Ethan Corey’s September Article In The Investment Lawyer

SEC Staff Suggests Steps for Mutual Funds to Improve Principal Risks Disclosure

OCIE Issues Risk Alert Regarding Investment Adviser Principal and Agency Cross Trading Compliance Issues

Broker-Dealer Exemptive Relief May Affect Advisers’ Allocation Practices

SEC Issues Guidance Regarding Proxy Voting Responsibilities of Investment Advisers

Steps to Taking the Solo Practitioner Leap for Attorneys

Mother, May I? The SEC Declares War on the Use of “May”

Financial Advisors: What is Your Relationship with Technology?

Three More Attorneys Join Practus

Feds Nix ‘flicts for Brokers and Advisers

Unhappy at Your Law Firm? How to Determine When to Make a Change

Reducing Stress as a Lawyer: How to Avoid Lawyer Burnout

Is Work-Life Balance Supposed to be 50/50?

Revolutionizing the Traditional Law Firm

Evening the Scales: The Value of Work-Life Balance in Law

Meet Our New Attorneys!

Visionary Law Firm, Practus Celebrates One-Year Anniversary

Corporate Governance Update: How Delaware Law Interacts with Federal Securities Law

Financial Advisor: What You Personally Have To Know About Regulatory Compliance

An Analysis of the SEC’s Proposed Fund of Funds Rule

Tips for a More Secure Client Relationship


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Practus, LLP