Exempt Reporting Entities

Commissioner calls for tiered disclosure regime

In August 2018, a covered associate of Respondent made a campaign contribution to a candidate for elected office in California, which office had influence over ...

Between December 2020 and April 2021, two covered associates of Respondent made campaign contributions to a candidate for elected office in New York, New York, ...

In May 2021, a covered associate of Respondent made a campaign contribution to a candidate for elected office in Massachusetts, which office had influence over ...

Respondents did not undertake a process to determine whether the loans were in the best interests of the lending Funds

Expert sees regulatory jujitsu in Chairman's moves

States take fresh swipe at Reg D

Swindler took in firm's COO, feds claim

Registered advisers struggle with registration, fees, valuations, conflicts of interest and MNPI, Commission data shows

SEC Commissioner Allison Herren Lee has endorsed calls for the Commission to change the definition of “shareholder of record” for exempt private funds. “Time and ...