Continue Reading Legislation Amending Volcker Rule Passes in House
Developments in Securities Regulation, Corporate Governance, Capital Markets, M&A and Other Topics of Interest. MORE
Investment Advisers
Brokaw Act to Increase Transparency of Activist Hedge Funds
By Steve Quinlivan on
SEC Permits Investment Adviser to Submit Shareholder Proposal on Behalf of Client
By Steve Quinlivan on
Three Bills Proposing Amendments to the Federal Securities Laws Gain Traction in Congress
By Steve Quinlivan on
SEC 2016 Examination Priorities for Private Equity and Hedge Funds
By Steve Quinlivan on
SEC Warns on Outsourced Chief Compliance Officers
By Steve Quinlivan on
SEC Nabs Private Equity Sponsor for Conflicting Investments
By Steve Quinlivan on
SEC Preparing to Move Forward on Accredited Investor Definition
By Steve Quinlivan on
“Recidivist” Custody Rule Violators Settle SEC Charges
By Steve Quinlivan on
SEC Finalizes Regulation Crowdfunding — Intermediary Requirements
By David Jenson on