Joanna Rosenberg concentrates her practice on securities regulation, with a focus on investment advisers and private funds. She regularly advises investment advisers on complex compliance and regulatory matters under the federal securities laws, particularly in light of newly developing trends and regulations. Joanna has experience advising on registration issues, advertising and marketing, and the structuring and ongoing management of private funds and other alternative investment vehicles. Joanna also frequently advises on the regulatory implications of seed and stakes deals for private fund managers, as well as M&A transactions involving controlling interests in fund managers.
Client memorandum |
SEC Proposes Extensive Amendments to the Custody Rule⟶Client memorandum |
EXAMS Publishes Risk Alert Regarding Regulation S-ID Compliance⟶Client memorandum |
SEC Adopts New Rule Requiring Form 13F Filers to Report Annually Their Proxy Voting Record⟶Client memorandum |
SEC Proposes New Oversight Requirements for Certain Services Outsourced by Registered Investment Advisers⟶Client memorandum |
EXAMS Publishes Risk Alert Regarding Examinations Focused on the New Investment Adviser Marketing Rule⟶Client memorandum |
SEC Proposes Sweeping New Rules and Amendments to Existing Rules Applicable to Private Fund Advisers⟶Client memorandum |
SEC Proposes Amendments to Form PF; Division of EXAMS Publishes Observations from Examinations of Private Fund Advisers⟶Client memorandum |
SEC Adopts Revised Investment Adviser Marketing Rule⟶Client memorandum |
SEC Adopts Rules to Modernize and Streamline Exempt Offerings⟶Speaking engagements |
Investment Adviser Core Compliance Program Symposium⟶Looking for a professional? Try our advanced professionals search⟶
