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In this issue, we discuss the extension of the Form PF compliance date, the proposed rescission of the investment adviser pay-to-play rule, the proposed amendments to CPO and CTA registra...
Reg CA would create tailored offering exemptions and disclosure rules for some primary offerings of crypto assets, but would provide less certainty to intermediaries and secondary markets.
In this issue, we discuss a proposed rule regarding the use of electronic delivery to satisfy information delivery requirements under the federal securities laws and a recent Supreme Cour...
In this issue, we discuss a Risk Alert issued by the SEC’s Division of Examinations regarding conflicts of interest involving investment advisers, and a recent enforcement action agains...
The Department of Labor released its highly anticipated proposed rule that aims to expand access to alternative investments by 401(k) and other individual account plans. Although a step i...
In this issue, we highlight the SEC Enforcement Director’s recent remarks regarding the Division’s enforcement priorities, which include private fund related misconduct.
On April 20, 2026, the SEC and CFTC proposed amendments to Form PF, the confidential reporting form filed by SEC-registered advisers to private funds, including those registered with the ...
In this issue, we discuss a recent enforcement action involving fraud and registration charges against three venture capital fund managers and their owner.
In this issue, we discuss a settled SEC enforcement action involving “season-and-sell” programs and new Division of Investment Management FAQs regarding the Fund of Funds Rule.
In this issue, we discuss proposed amendments to Form N-PORT reporting requirements, the SEC enforcement director’s first public remarks and a recent enforcement action involving compli...