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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 ...
The SEC has taken its first, tentative steps to opening up private funds to retail investors. There’s still a long way to go, but just ...
President-elect Joe Biden has named former CFTC chairman Gary Gensler to lead the financial services wing of his new transition team—a team stocked with veteran ...
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 ...
Goulding commingled in the same bank accounts moneys belonging to himself, Nutmeg, and the Funds
The new rules are a capstone on Chairman Jay Clayton's SEC career but they'll come over the objections of Democratic Commissioners and state regulators.
Sideletter
Fund advisers will be allowed to risk up to 200% of their firms’ portfolios’ value in derivatives under first-of-their-kind rules adopted by a divided SEC ...
"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 ...
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