Industry Update
So You Want to Buy a Stake in a Private Equity Manager?
SEC Staff Issues Information Update on Compliance with Form ADV Amendments for Other-Than-Annual Amendments
OCIE I...
Rules and Regulations
SEC Staff Releases FAQs on Investment Company Reporting Modernization Reforms
SEC’s Acting Director of OCIE Says Private Equity May Be Less of a Priority Ahead
SE...
Rules and Regulations
SEC’s Acting Director of OCIE Says Private Equity May Be Less of a Priority Ahead
SEC Confirms That Some Initial Coin Offerings Are Illegal Unregistered Securitie...
Rules and Regulations
SEC Updates Form ADV Frequently Asked Questions
Interacting with Retirement Investors under the DOL Fiduciary Rule
Industry Update
Acting Director and Acting...
Industry Update
ILPA Issues Guidance on Use of Subscription Credit Lines
Rules and Regulations
Interacting with Retirement Investors under the DOL Fiduciary Rule
In a much-anticipated action, on July 25 the SEC issued a Section 21(a) report of its investigation into an offering of digital tokens by “The DAO,” an unincorporated virtual organiza...
Rules and Regulations
SEC Adopts Technical Amendments to Form ADV and Form ADV-W to Reflect Enactment of a Wyoming State Law Regulating Investment Advisers
House Approves Revised Financi...
Rules and Regulations
House Approves Revised Financial CHOICE Act
Litigation
Supreme Court Rules that Five-Year Statute of Limitations Applies to SEC Disgorgement Actions
Rules and Regulations
SEC Proposes Amendments to Advisers Act Rules to Reflect Changes Made by the FAST Act
House Financial Services Committee Approves Revised Financial CHOICE Act
...
Rules and Regulations
SEC Proposes Amendments to Advisers Act Rules to Reflect Changes Made by the FAST Act
House Financial Services Committee Approves Revised Financial CHOICE Act
