Overview -
The BE-180 report issued by the U.S. Commerce Department’s Bureau of Economic Analysis (the “BEA”) is a five-year benchmark survey that collects data on transactions between U.S. financial services providers...more
9/29/2020
/ BE-180 ,
Benchmarks ,
Broker-Dealer ,
Bureau of Economic Analysis ,
Filing Deadlines ,
Financial Institutions ,
Financial Services Industry ,
Fund Managers ,
Hedge Funds ,
Investment Adviser ,
U.S. Commerce Department
Today, we are launching a proprietary database tracking all SEC enforcement actions involving private equity advisers. The database contains key information from the actions, including summaries of key issues, settlement...more
7/23/2019
/ Broker-Dealer ,
Compliance ,
Conflicts of Interest ,
Disclosure Requirements ,
Disgorgement ,
Enforcement Actions ,
Investment Adviser ,
Investment Funds ,
Popular ,
Private Equity ,
Securities and Exchange Commission (SEC)
The U.S. Commerce Department's Bureau of Economic Analysis (the "BEA") recently released the final version of the BE-180 report, a five-year benchmark survey that collects data on transactions between U.S. persons that are...more
9/1/2015
/ Benchmarks ,
Broker-Dealer ,
Bureau of Economic Analysis ,
Filing Deadlines ,
Financial Institutions ,
Foreign Nationals ,
Hedge Funds ,
Investors ,
Private Equity Funds ,
Private Funds ,
Reporting Requirements ,
Surveys ,
Threshold Requirements ,
Time Extensions ,
U.S. Commerce Department
On June 25, 2015, the Securities and Exchange Commission (SEC) set a compliance date of July 31, 2015 for the ban on payments to third parties for the solicitation of advisory business from any government entity under Rule...more
7/17/2015
/ Broker-Dealer ,
Compliance ,
Financial Industry Regulatory Authority (FINRA) ,
Government Entities ,
Investment Adviser ,
MSRB ,
Municipal Advisers ,
Pay-To-Play ,
Securities and Exchange Commission (SEC) ,
Solicitation ,
Third-Party