- SEC Staff Issues Information Update on Compliance with Form ADV Amendments for Other-Than-Annual Amendments
- SEC Grants No-Action Relief to Registered Closed-End Management Investment Companies Filing Rule 486(b) Post-Effective Amendments to Registration Statements
- OCIE Issues Risk Alert on Common Advertising Rule Compliance Issues Identified in Investment Adviser Examinations
- So You Want to Buy a Stake in a Private Equity Manager?
- Eighth Circuit Affirms Judgment Finding that Fund-of-Funds Shareholder Lacks Standing to Challenge Fees Paid by Underlying Funds
- SEC Charges Chief Compliance Officer for Failure to Verify Accuracy of Securities Filings
- SEC Charges Adviser for Improper Allocation of Consulting and Other Fees
- SEC Charges Hedge Fund with Failing to Prevent Insider Trading