SEC

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 ...

SEC Chairman Jay Clayton will call it a career, leaving the Commission by year’s end, the agency confirmed Nov. 16. The move had been expected: As the November ...

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 ...

"It’s easier to get good regulations in repudiation to bad Trump administration rules than if you’re starting from scratch under ordinary circumstances."

The settlement closes one chapter, but the saga continues.

Nearly 35% of all private funds—and almost 52% of qualified hedge funds—were domiciled in the Caymans, SEC data show.

"Simmons created and saved a blank ‘memo to file’ concerning the October 2016 Investment that contained only the subject and a date ‘10-21-16,’ but had ...

The Commission, in a rare unanimous vote, has adopted new rules designed to keep the public (and investors) updated on complex investment structures.