Fees and Expenses

In May, the SEC signaled it would exercise its Dodd-Frank authority to hike AUM and net worth thresholds for when advisers can charge performance-based fees ...

The SEC issued this no-action letter permitting a private equity entity or one of its funds to purchase shares in foreign funds in excess of ...

What are you to do when two rules collide? It happens. Case in point is the SEC's new Form ADV rule and a 1988 no-action ...

Dodd-Frank gave the SEC the authority to annually adjust the dollar thresholds for when advisers can charge clients performance-based fees. A new proposed rule issued ...

This is a guide to SEC registration designed to help hedge fund and private equity fund advisers understand new registration requirements. This was prepared by ...

This is a sample subscription agreement for a private equity fund courtesy of Thomas Gallagher, a partner at Baker Hostetler in New York.

It'll be more than a year before the impact of a new Department of Labor rule hits the market, but when it does, investors in ...

Rather than fixing mutual fund fees around the edges, SEC commissioners appear intent on creating new Investment Company Act rule 12b-2, which would spell out ...

This week shapes up as a big one for RIAs as the Commission is set July 21 to consider a final rule that would force ...

NFA Compliance Rule 2-37(g) prohibits Members registered as broker-dealers under Section 15(b)(11) of the Exchange Act from charging more than a fair commission for security ...