The Financial Industry Regulatory Authority (FINRA) has received approval from the Securities…
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…
Read MoreMutual Funds Won’t Register With CFTC Without a Fight
The Investment Company Institute (ICI) and the U.S. Chamber of Commerce have…
Read MoreUpdate on Contract Requirements for Newly Registered Advisers
Newly registered advisers to hedge funds and private equity funds are now…
Read MoreNovember Elections Renew Focus on “Pay to Play” Rules for Advisors
As election season gets into full swing, advisors should be cautious about…
Read MoreSEC Creates New Investor Advisory Committee: Will It Lead to More Informed Regulations?
The Securities and Exchange Commission (SEC) has announced the formation of a…
Read MoreWe’ve Registered Our Hedge Fund or Private Fund…Now What?
The oversight of the Securities and Exchange Commission (SEC) now extends to…
Read MoreKeeping It in the Family: A Closer Look at the Registration Requirements for Family Offices
As we have previously discussed on this blog, the Securities and Exchange…
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