Non-Enforcement - States are Accommodating Crowdfunding Offerings While the SEC Continues to Ponder Crowdfunding Rules -
The SEC first proposed rules in October 2013 for the crowdfunding exemption which was included in...more
8/3/2015
/ Accountants ,
Asset Valuations ,
Auditors ,
Broker-Dealer ,
Civil Monetary Penalty ,
Crowdfunding ,
Department of Labor (DOL) ,
Fee Disclosure ,
Fiduciary Duty ,
Hedge Funds ,
Investment Company Act of 1940 ,
Investors ,
JOBS Act ,
Private Equity Funds ,
Public Pension ,
Securities and Exchange Commission (SEC)
Non-Enforcement
- 2015 Legislative Agenda Includes Dodd-Frank Revisit and Cybersecurity.
Enforcement
- SEC Enforcement Action Underscores Importance of Custody Rule Compliance
- Joint SEC/State...more
SEC Looks to Step Up Oversight of the Fund Industry -
At a recent conference, Mary Jo White, SEC chairman, announced that the SEC will look to increase its scrutiny of the mutual fund asset management segment to ensure...more
SEC Initiates Enforcement Action Against Hedge Fund Adviser -
The SEC initiated an administrative proceeding on January 8, 2014 against Patrick G. Rooney (“Rooney”), the sole owner and managing partner of Solaris...more
Investment Advisers — Are Your “IA Reps” Registered as Required? Why You Should Care -
As we approach the end of the calendar year, it is a good time for investment advisers to check if all of its personnel who are...more
Non-Enforcement Matters:
- No Rush to Advertise by Hedge Funds
- Updated Guidance From the SEC
- Results of Dodd-Frank Legislation on Investment Adviser Registration Numbers
Enforcement...more
In This Issue:
Non-Enforcement Matters
- FINRA Announces Regulatory and Examination Priorities for 2013
- SEC Previous Hedge Fund Enforcement Trends for 2013
Enforcement Matters
- Another...more
1/31/2013
/ Complex Financial Products ,
Compliance ,
Cybersecurity ,
Data Protection ,
Enforcement ,
Financial Industry Regulatory Authority (FINRA) ,
Hedge Funds ,
Insider Trading ,
Money Laundering ,
Non-Enforcement ,
Private Placements ,
Securities and Exchange Commission (SEC)
In This Issue:
Non-Enforcement Matters:
- New SEC Registrants Under Dodd-Frank to Be Focus of SEC Examination Program
- FINRA Rule 5123 Revisited
Enforcement Matters:
- SEC Accuses...more
In This Issue:
Non-Enforcement Matters
- SEC Approves New FINRA Rule on Private Placement Offerings
- Private Fund Advisers Come Into Compliance With Dodd-Frank Requirements
Enforcement Matters
- ...more