The Securities and Exchange Commission (SEC) has approved Form PF filing fees…
Read MoreAre You Listening? SEC Offering Risk Management Advice to Newly Registered Private Equity Funds
As readers of my blog may have noticed, Securities and Exchange Commission…
Read MoreWhat Should Private Equity Funds Expect If the SEC Comes Calling?
The Securities and Exchange Commission has indicated that it will take a…
Read MoreAre You Ready? SEC Outlines Enforcement Strategy for Newly Registered Advisers
The Securities and Exchange Commission (SEC) is in the process of identifying…
Read MoreGet Out the Shovel: SEC Digging Into New Hedge Fund Data
The Securities and Exchange Commission (SEC) has started to comb through the…
Read MoreThe Numbers Are In: Fewer Advisory Firms Switch to State Oversight
Fewer advisory firms than expected will be converting to state registration. As…
Read MoreInvestment Adviser Oversight Act of 2012 Could Mean More Big Changes for RIAs
Legislation is currently pending in the U.S. House of Representatives that could…
Read MoreThe JOBS Act and Private Funds
On April 5, 2012, President Obama signed the Jumpstart Our Business Startups…
Read MoreAdvisers and Brokers Beware: SEC Looking Beyond U.S. Borders
The Securities and Exchange Commission is currently working to expand its oversight…
Read MoreCould You Find an SEC Examiner in Your Boardroom?
Rather than taking a more hands off approach, the Securities and Exchange…
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