News & Analysis as of

Securities and Exchange Commission (SEC) › Proposed Rules › Private Equity

SEC Compliance Consultants, Inc. (SEC³)

A New Era for Co-Investments?

SEC Compliance Consultants, Inc. (SEC³) on

The SEC just proposed major updates that could make life easier for BDCs, closed-end funds, and their advisers when it comes to co-investing. Under the proposed relief granted to FS Credit Opportunities Corp., the SEC is...more

Proskauer - The Capital Commitment

SEC Overreach: Insurers Underwrite?

Proskauer - The Capital Commitment on

Implications of SEC attempt to curb indemnification for private fund managers - The SEC spent 2022 making multiple and sweeping proposals to amend rules under the Advisers Act, many of which have the ability to...more

Moore & Van Allen PLLC

SEC and CFTC Agree on a Single Definition of “Digital Asset” – More is Needed: Moore & Van Allen

Moore & Van Allen PLLC on

The Securities and Exchange Commission (“SEC”) and Commodity Futures Trading Commission (“CFTC”) (collectively, the “Agencies”) jointly proposed a rule (the “Proposed Rule”) that would impact existing confidential reporting...more

BCLP

ESG Aspirations vs. Operations - Momentum in Emerging Greenwashing & Diligence Risks

BCLP on

Increasing focus on ESG related progress is both commendable and imperative. The scrutiny extends beyond renewables, alternative energy, industrials and carbon impact, to all facets of global business including banks and...more

Morgan Lewis

SEC Proposes Sweeping New and Amended Rules under Advisers Act to Overhaul Private Fund Industry

Morgan Lewis on

In the span of two weeks, the US Securities and Exchange Commission (SEC) has proposed rules that would significantly overhaul the regulation of the private fund industry. Specifically, on January 26, the SEC issued proposed...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Proposes New Disclosure Rule for Security-Based Swap Positions

Skadden, Arps, Slate, Meagher & Flom LLP on

On December 15, 2021, the Securities and Exchange Commission (SEC) voted 3-2 to approve proposed rules that, among other things, would add new Rule 10B-1 to require a prompt disclosure of large security-based swap (SBS)...more

Hogan Lovells

SEC proposes rules to prevent fraud and promote transparency in the use of credit default swaps and other security-based swaps

Hogan Lovells on

Some investors have used credit default swaps in recent years to manufacture credit events and for other purposes related to activist conduct. In response to criticisms of these practices and in particular to a perception...more

BCLP

SEC Proposes Limited Exemption for Persons Acting as “Finders” in Private Capital Transactions to Accredited Investors

BCLP on

The SEC announced on October 7, 2002 that it had approved, by vote of 3-2, a proposed limited conditional exemption for individuals acting as “finders” in private market transactions with accredited investors. ...more

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