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Pension plan fiduciaries don’t have to cast every one of their clients’ proxy votes but whatever decision they make must be made “prudently and solely ...
Eagle-eyed reader Rob van Grover says he’s found a “foot fault” in the SEC’s new definition of accredited investors and suggests that private fund advisers ...
OCIE’s recent risk alert on branch office businesses may well offer some lessons to the broader industry, a top regulatory lawyer tells RCW. The risk ...
State regulators and Democrats at the SEC have been increasingly vocal that Reg. D offerings have to be brought to heel. Their words are likely ...
Of the 16 registered private funds that faced discipline this year, only one disclosed a pending SEC enforcement matter in advance.
A private equity adviser in suburban Washington, D.C. will pay more than $1 million to settle SEC claims that it inadvertently overcharged its investors managements ...
Private fund advisers, already betting on a Democratic victory Nov. 3, have turned to a New Jersey Congressman to help protect them from his party’s ...
"It’s easier to get good regulations in repudiation to bad Trump administration rules than if you’re starting from scratch under ordinary circumstances."
"Regulation D ensures that illegitimate issuers no longer need to file registration statements with federal regulators, and for all practical purposes their actions are exempt ...
The settlement closes one chapter, but the saga continues.
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