Enforcement

B-D kept it clean for 20-plus years, Commission says

Fresh enforcement as SEC weighs Reg D reforms

Fast-developing standard of 'meaningful, close relationships' put PE advisers on notice

Online B-D's troubles may just be beginning

Former white collar prosecutor returns to Washington

Adviser 'surprised and disappointed,' lawyer says

This enforcement action misapplies the statutory definition of “broker,” further muddies an already confusing landscape created by prior staff no-action letters issued to firms engaged ...

Experts see 'a move away from more access,' and toward more openness

Adviser, now under court-appointed monitor, blames expiration of credit facility

SEC needs lots more hands and a 'cultural change,' author says