Developments in Securities Regulation, Corporate Governance, Capital Markets, M&A and Other Topics of Interest. MORE
Investment Advisers
SEC Charges Investment Adviser for Misleading Performance Advertising
By Jill Radloff on
SEC Examinations of Newly Registered Private Fund Advisers Wind Down
By Steve Quinlivan on
SEC Cops Bust 36 for Failure to File Ownership Reports
By Steve Quinlivan on
CFTC Eliminates Barrier to Hedge Funds Using JOBS Act General Solicitation
By Steve Quinlivan on
SEC Denies Confidentiality Request for Form 13F
By Steve Quinlivan on
SEC Reports on Use of Form PF Data
By Steve Quinlivan on
SEC Commissioner Objects to Retroactive Application of Dodd-Frank Bars
By Steve Quinlivan on
SEC Grants Exceptions to Family Office Rules
By Steve Quinlivan on
Hedge Fund COO Makes Admissions in SEC Settlement
By Steve Quinlivan on