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Rules & Regulations

The SEC passed this fund of funds' rule in 2020. It affect investment advisers to mutual funds but not private funds.
"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 ...
The final rules are tailored to permit investors with reliable alternative indicators of financial sophistication to participate in such investment opportunities, while maintaining the safeguards ...
A divided SEC has voted to widen definitions of accredited investors in another step that proponents hope will bring more retail investors into the private ...
In an effort to clarify and simplify compliance with the implementing regulations, the final rule adopts revisions to the provisions that govern the relationship between ...
The compliance burden of the newly relaxed Volcker Rule will fall heaviest on banks but no one on either side of the reopened ledgers will ...
Both registered and exempt CPOs will be required to represent that they and their respective principals are not subject to certain statutory disqualifications under the ...
FINRA and the other SROs are now on the clock to publish their plans for the looming consolidated audit trail requirements after a divided Commission ...
Sherlock Holmes famously solved a case by listening for a dog that didn’t bark. Since the early days of the coronavirus crisis, a deafening silence ...
Attorneys General of 21 states are urging the Trump Administration to freeze all rulemaking and focus on the COVID-19 pandemic. In a letter to Russel ...
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