Bill Myers
A Florida attorney and a disbarred New York attorney have been indicted on federal fraud charges, accused of selling off OTC lawyers’ letters for a ...
State regulators and Democrats at the SEC have been increasingly vocal that Reg. D offerings have to be brought to heel. Their words are likely ...
The SEC has taken its first, tentative steps to opening up private funds to retail investors. There’s still a long way to go, but just ...
SEC Chairman Jay Clayton will call it a career, leaving the Commission by year’s end, the agency confirmed Nov. 16. The move had been expected: As the November ...
President-elect Joe Biden has named former CFTC chairman Gary Gensler to lead the financial services wing of his new transition team—a team stocked with veteran ...
Of the 16 registered private funds that faced discipline this year, only one disclosed a pending SEC enforcement matter in advance.
The Department of Labor has quietly updated ERISA rules to require private pension plan fiduciaries to put financial returns ahead of sustainable goals in investing, ...
A private equity adviser in suburban Washington, D.C. will pay more than $1 million to settle SEC claims that it inadvertently overcharged its investors managements ...
Private fund advisers, already betting on a Democratic victory Nov. 3, have turned to a New Jersey Congressman to help protect them from his party’s ...
The new rules are a capstone on Chairman Jay Clayton's SEC career but they'll come over the objections of Democratic Commissioners and state regulators.