Private Equity Regulatory Update - October 2020
Rules and Regulations
- SEC Proposes to Exempt Certain “Finders” from Broker-Dealer Registration Requirements
- Dalia Blass Keynote Address at the Investment Company Institute 2020 Virtual Securities Law Developments Conference: Regulating with Our Eyes on the Future
- Joint Statement on New FAQs for Form CRS.
- Blockchain Lending Company Settles SEC Charges Arising from Unregistered ICO
- SEC Settles with Private Equity Fund Manager Regarding Alleged Fee Overcharges