Regulators

This paper examines registered broker-dealers and their activities from 2010-2024, and provides an analysis of the industry, structure of activity of different types of broker-dealers, ...

FinCEN narrows the existing beneficial ownership information (BOI) reporting requirements under the Corporate Transparency Act (CTA) to require only entities previously defined as 'foreign reporting ...

No-action letter a coup for Latham & Watkins, potential boon for private funds industry

You might be getting dizzy by now, after a federal judge Feb. 18th granted a motion to reignite the reporting obligations under the Corporate Transparency ...

In 2025, managers will need to redouble their efforts to ensure they are meeting all of the various standards being applied to the industry

'We are living in an age of financial nihilism, where the zeitgeist rewards gambling and risk, and prudence is punished,' Armada ETFs CEO Phil Bak ...

'If private is safe and risky, and public is safe and risky, why do we think they’re any different?' Apollo Chief Executive Marc Rowan tells ...

'There’s a lot of smart people out there that understand risk,' Securitize co-founder Jamie Finn says

In what may be SEC Chairman Gary Gensler's political epitaph, federal judge condemns rules 'untethered from the text, history, and structure'

'I do think there will be less of a focus on regulating private funds, and less of a focus on trying to bring them up ...