This is a final rule, released in July 2012 by the SEC and the CFTC that serves Dodd-Frank's desire to regulate derivatives. This rule further ...
Congress gave the SEC until last week to eliminate the prohibition against general solicitation and general advertising in securities offerings under rule 506 of Reg ...
You should take a look at seven frequently asked questions on Form PF before you complete the confidential document that will inform the government of ...
This final rule extended the compliance deadline for the portion of the SEC's pay-to-play rule relating to the ban on third-party solicitation, but only for ...
Even if you don't consider your firm an alternative investment house, it could be engaging in some hedging strategies around the edges or holding on ...
It's taken three years but the CFA Institute May 18th approved its guidance statement for alternative investment strategies and structures. Firms that claim GIPS compliance ...
Don't risk adding a new party to a contract or a new investment that requires a qualified investor without updating your subscription documents. The SEC's ...
OCIE officials have made no secret that they're going to set their sights on many of the newly registered private fund advisers (IA Watch, March ...
Fund marketers rejoice—you are now freer to communicate!
The recently enacted JOBS Act lifts the ban on “general solicitation” and “general advertising” by private equity funds, ...
This technical correction to the SEC's pay-to-play rule, published in May 2012, makes clear that covered associate refers to applies to an individual and not ...