On August 23, 2023, the U.S. Securities and Exchange Commission (“SEC”), by a party-line vote of 3-2, adopted new rules applicable to investment advisers to private funds (“Private Fund Advisers”) that address transparency,...more
9/6/2023
/ Audits ,
Books & Records ,
Broker-Dealer ,
Clawbacks ,
Compliance ,
Conflicts of Interest ,
Documentation ,
Enforcement Actions ,
Fees ,
Fiduciary Duty ,
Hedge Funds ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Private Equity Funds ,
Securities and Exchange Commission (SEC) ,
Transparency ,
Waivers
While the SEC has worked over the last several months to provide meaningful guidance around the offer and sale of digital tokens, state securities regulators have now begun to take action, with Texas leading the way. In the...more
1/19/2018
/ Bitcoin ,
Broker-Dealer ,
Cryptocurrency ,
Digital Currency ,
Enforcement Actions ,
Foreign Securities ,
Internet Marketing ,
Popular ,
Securities Violations ,
State Securities Regulators ,
Token Sales