Private Funds

Reg D reform, once consigned to bottom of SEC's to-do list, rockets to the top.

Seven arrests in five separate cases have put plenty of arrows into reformers' quivers.

'The SEC must grow and evolve with the industry,' chairman says.

"The SEC’s Divisions of Investment Management, Examinations, and Enforcement continue to focus on advisers to private funds. It is important to hold investment advisers accountable ...

"We need to build on this foundation, so people should be coming to us with suggestions of educational credentials, examinations, or professional certifications and designations ...

The issues on the agenda today are all critically important for investors: Regulation Best Interest, gamification of trading, ESG, and the private markets

Clearer structure, definition urged in compensation funds

'Reg D... is designed to balance the demand and supply side'

BTIG did not take reasonable steps to verify that the hedge fund would deliver shares of stock sold by settlement and ignored red flags

The Commission is announcing that it intends to hike the two tests that make one a qualified client. The AUM test will be raised from ...