Dodd-Frank ordered that the value of a person's primary residence not be considered when determining if a person's net worth tops the $1 million threshold ...
This is an SEC final rule adjusting its standard for an accredited investor to fit with Dodd-Frank rule changes. This was released in December 2011.
The SEC advertised it would use analyses of performance data to spot outliers and bring enforcement actions for improper behavior (IA Watch, March 28, 2011) ...
Citing what it called "wholly inadequate" oversight of a faraway subadviser, the SEC last week fined and ordered repayment of advisory fees by Morgan Stanley ...
You should be able to take the new Form ADV, Part 1 for a test drive beginning today - if you want to see how ...
The final Form PF rule that garnered an unanimous vote by the Commission last week will contain numerous changes from the original proposal (IA Watch, ...
This is the 2011 final rule from the SEC laying down the rules for advisers to private funds, some commodity pool operators and trading advisers ...
This is the SEC's decision in 2011 on what to charge exempt-reporting and private fund advisers to report via IARD their Form ADV and Form ...
The latest regulatory requirement for buyout shops appears not to be as onerous as the industry had feared, lawyers who work with private equity firms ...
This past summer the IRS decided to halt issuing private letter rulings for investment companies that invest considerably in commodities. The companies seek the letters ...