News & Analysis as of

Private Equity Funds Securities Exchange Act

Lowenstein Sandler LLP

SEC Proposes Conditional Broker Exemption For Finders

Lowenstein Sandler LLP on

What You Need To Know: •The SEC proposes to exempt two types of Finders from broker-dealer registration pursuant if they satisfy certain conditions. •Tier I Finders may provide potential investors’ contact information to...more

Jackson Walker

New FINRA Capital Acquisition Broker Rules May Offer Limited Relief to Private Investment Fund Advisers

Jackson Walker on

The U.S. Securities and Exchange Commission (“SEC”) recently approved a Financial Industry Regulatory Authority (“FINRA”) proposal to adopt a new regime for the regulation of electing broker-dealer firms that meet the...more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on

Enforcement - AXA Prevails in Excessive Fee Trial - Beware of Failing to Properly Disclose Fees and Assess Adequate Penalties - Non-Enforcement - Business Continuity Planning - SEC Rule Designed to...more

Cozen O'Connor

SEC Settles with Private Equity Fund Adviser Charged with Acting as an Unregistered Broker

Cozen O'Connor on

A recent Securities and Exchange Commission (SEC) settlement order highlights the importance that the SEC has placed on the issue of broker-dealer registration for the private equity industry. On June 1, 2016, the SEC...more

Dorsey & Whitney LLP

SEC acts against Private Equity Firm for Acting as an Unregistered Broker

Dorsey & Whitney LLP on

On June 1, 2016, the SEC issued a press release that announced a Maryland-based private equity fund advisory firm and its owner have agreed to pay more than $3.1 million to settle charges that they engaged in brokerage...more

K&L Gates LLP

SEC Faults Private Equity Fund Manager for Acting as an Unregistered Broker and Failing to Comply With Fund Agreements

K&L Gates LLP on

On June 1, 2016, the Securities and Exchange Commission (“SEC”) brought and settled charges against a private equity fund adviser and its principal owner for engaging in brokerage activity without registering as a...more

Skadden, Arps, Slate, Meagher & Flom LLP

"SEC Charges Private Equity Fund Adviser as an Unregistered Broker"

On June 1, 2016, the Securities and Exchange Commission (the "SEC") accepted a settlement offer from a registered investment adviser of private equity funds, and its founder, principal and managing member. The settlement...more

Dechert LLP

SEC Charges Private Equity Adviser for Unregistered Brokerage Activity

Dechert LLP on

The U.S. Securities and Exchange Commission (SEC) on June 1, 2016 announced a settled enforcement action against a private equity fund manager (Adviser) for acting as a broker-dealer without registering. The case is...more

Troutman Pepper

Private Equity Fees and Expenses

Troutman Pepper on

In This Presentation: - Agenda - Typical Fund Structure - Typical Fund Waterfall - Fund Economics- Nuances - LPA Provisions - Fund Due Diligence - Legal Landscape - PEI...more

9 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide