Enforcement

'As bad actors are increasing their use of social media, and digital assets are moving into the mainstream, states securities administrators are increasing their efforts ...

The firm was further dinged for improperly permitting one of its FAs to engage in securities activities with and for persons in the U.S., when ...

'It’s not a time to walk away from this issue,' Holland & Knight partner John Saran says

Registration remains one of the single biggest categories of SEC enforcement against private funds

'The battle’s not over,' Major, Lindsey & Africa's Allison Rosner warns, urging firms to START at the beginning

Colony Capital didn't properly disclose affiliate expenses, regulators claim

'The private equity industry has been subject to a public discourse that makes the industry a convenient target, but not a valid one,' Simpson Thacher ...

Fund manager didn't properly distribute audits, regulators claim

A federal judge in Texas has struck down the Federal Trade Commission’s efforts to ban noncompete clauses. In a 27-page ruling issued Aug. 20, U.S. ...

Republican Commissioner sees 'tension' in rule's 'dubious assertion'