Sample this COE and you may grab some ideas for improving yours
"When implementing statutory directives, the Commission should seek to implement the plain text of the statute rather than taking expansive interpretive views that can impose ...
"The Commission staff is actively evaluating whether it will recommend that the Commission exercise this exemptive authority"
Did you miss any of our top stories from last month?
It’s not likely your firm will fall under new EDGAR reporting requirements that begin next month, but you should be aware of a new law ...
In response to the market disruption, the adviser took steps to increase monitoring of its existing portfolio companies but it did not perform other analyses ...
The new order exempts from certain recordkeeping requirements those B-Ds that maintain total assets of less than $1 billion and capital of less than $100 ...
A snapshot of the SEC's revised Enforcement Manual, proposed changes to Form N-PORT, a look at states' actions targeting private equity and much more
The SEC says the 'primary benefit of the revised 45-day filing deadline would be to reduce the costs that funds might otherwise incur.... The associated ...
The manual speaks to ranking investigations, listing several factors to consider, including 'whether the matter involves misconduct by persons occupying positions of substantial authority or ...