Investment Advisers

"Regulation D, first adopted in the early 1980s, has become one of the most important exemptions for companies looking to raise capital outside of registration. ...

"The accredited investor definition is always a source of lively discussion. I hope that one aspect of today’s discussion will be how we can bring ...

"Increasing access to certain investments should not come at the expense of decreasing the basic investment protections that should be available to all investors"

Venn diagram maps out pain points among valuation, marketing, fees and expenses

"A conflicted transaction entails directly shorting the ABS, entering into a credit default swap that references the underlying assets, or something economically equivalent to either ...

"Our pattern of proposing unrealistic rules with numerous questions, only to substantively revise the rule text after the comment period closes inhibits our ability to ...

"If market participants are seeking to comply with the rule and find that there are circumstances that call for an exemption, guidance, or other relief, ...

"The final rule we adopt today will contribute to the healthy functioning of ABS markets by reducing the ability of securitization participants to exploit their ...

Entities that will be effected by this new final rule include investment advisers and ABS investors. For example, pension funds, endowments, foundations, hedge funds, and ...

This is an SEC final rule that would prohibit conflicts of interest in the sale of asset-backed securities