It was the speech that created a stir. This Spring, David Blass, chief counsel in the SEC's Division of Trading and Markets, put the industry ...
With new rules on general solicitation now in effect, buyout shops and their supporters in Washington, D.C., are concerned that a separate set of proposals ...
Today opens up the opportunity for private offerings to be advertised with the elimination of the 80-year ban on general solicitation (IA Watch, July 22, ...
Click here to download an Excel file that gives you a template for how to display compliance tests and their results for use in your ...
FINRA's anti-spinning rule (FINRA Rule 5131) would include a new, limited exception with regard to fund of funds, if a proposal the self-regulatory organization recently ...
While Forms ADV and PF may be close to your heart, know that there is a slew of other federal regulatory forms that certain advisers ...
With only five weeks to go before the SEC's new so-called "bad actors" rule takes effect, advisers are struggling to come up with an approach ...
This Oppenheimer employee was charged with a host of securities violations related to the valuation of the Oppenheimer Global Resource Private Equity Fund, along with ...
Now that all required advisers have filed their initial Form PF with the SEC, the agency has satisfied another Dodd-Frank requirement by sharing with Congress ...
Approval greets the decision by the SEC's Division of Investment Management to drop the requirement under the revised custody rule that certificates for private offerings ...