Enforcement

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 ...

"Fiscal Year 2020 was another successful year for the Division of Enforcement, despite the unprecedented challenges posed by the global COVID-19 pandemic"

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 ...

This guidance from the Enforcement Division highlights scenarios of how various efforts by firms to self-report, cooperate or remediate cases can result in lesser penalties

The settlement closes one chapter, but the saga continues.

"Although interconnected, I see a distinction between the SEC’s role in making rules and enforcing compliance with those rules, on the one hand, and dictating ...

A third historic note came in a case in which elderly clients were allegedly victimized with more than $180 million in losses

Private fund adviser settles custody case - but where did all the money go?

States' private fund angst may be broker-dealers' headache

The SEC has handed over its private fund adviser compliance “playbook” but now it’s up to the industry to execute the plays, a pair of ...