The JOBS Act and Private Funds

On April 5, 2012, President Obama signed the Jumpstart Our Business Startups…

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Advisers and Brokers Beware: SEC Looking Beyond U.S. Borders

The Securities and Exchange Commission is currently working to expand its oversight…

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Could You Find an SEC Examiner in Your Boardroom?

Rather than taking a more hands off approach, the Securities and Exchange…

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Mutual Funds Won’t Register With CFTC Without a Fight

The Investment Company Institute (ICI) and the U.S. Chamber of Commerce have…

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Update on Contract Requirements for Newly Registered Advisers

Newly registered advisers to hedge funds and private equity funds are now…

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November Elections Renew Focus on “Pay to Play” Rules for Advisors

As election season gets into full swing, advisors should be cautious about…

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We’ve Registered Our Hedge Fund or Private Fund…Now What?

The oversight of the Securities and Exchange Commission (SEC) now extends to…

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Keeping 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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Debate Over Investment Adviser Oversight Likely to Heat Up

As the summer approaches, the debate over whether a new self-regulatory organization…

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What Were FINRA’s Top Enforcement Priorities for 2011?

In 2011, enforcement actions and fines by the Financial Industry Regulatory Authority…

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