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...
In this issue, we discuss a compliance risk alert and new FAQs both regarding the Advisers Act Marketing Rule, proposed amendments to the small entity definitions for purposes of the Regu...
In this issue we discuss, among other things, an SEC exemptive order permitting a registered fund to offer exchange-traded and non-exchange-traded share classes, and recent enforcement ac...
The Delaware Court of Chancery pauses a proposed continuation fund transaction following a sovereign wealth fund’s allegations that the sponsor engineered a conflicted, below-market sal...
In this issue, we discuss, among other things, the SEC Division of Examinations’ exam priorities for 2026, and a recent FINRA enforcement action against a wholesale distributor of inves...
