A simple bank error and a malicious employee put a Silicon Valley venture capitalist at the center of what has now become a multi-count criminal ...
SEC Chairman Jay Clayton is telling fellow commissioners that he wants to complete an overhaul of the decades-old advertising rule by the end of the ...
The SEC’s aggressive pursuit of penny stock lenders has some advocates worried that the crackdown will inadvertently dry up liquidity in the vital microcap market. ...
A New York private fund adviser has agreed to pay $75,000 to settle SEC claims that it violated the custody rule for two private funds ...
A former SEC examiner, once facing decades behind bars on accusations that he leaked secrets of ongoing investigations to sweeten his job prospects, has agreed ...
New, accredited investor definition triggers issues Private funds should take a new look at their subscription agreements after the SEC’s decision to widen the definition ...
Federal officials have opened a criminal investigation into the founder of a Florida private fund adviser accused of bilking ailing former football stars out of ...
A divided SEC has voted to widen definitions of accredited investors in another step that proponents hope will bring more retail investors into the private ...
The SEC’s recent risk alert on COVID-19 challenges private fund advisers to come up with “creative” solutions to a new, and world-historic, phenomenon, experts tell ...
In late July, Viola Ventures invested in a $14.15 million Series B funding of Berlin-based Candis, which provides automated financial software for small and mid-sized ...