Private Equity

It's not every day that an enforcement action against an investment adviser includes news that the CCO resigned over questionable actions by the firm's owner. ...

This private equity adviser and its CEO were charged by the SEC for alleged violations, including with how expenses were handled.

In April of last year, David Blass, chief counsel for the Division of Trading and Markets at the U.S. Securities and Exchange Commission, gave a ...

This page was updated in 2015. To see the SEC's actual site, which may contained more updated FAQs, visit http://www.sec.gov/divisions/investment/pfrd/pfrdfaq.shtml.

This no-action letter from the SEC's Division of Trading & Markets in 2014 concerns a broker effecting securities transactions in connection with the transfer of ...

This is a 2014 rule from the CFTC related to the Volcker Rule. It's entitled Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, ...

This letter follows on a controversial stance by the SEC that holds that some private equity firms should have to register as broker-dealers because they ...

With 2014 now here, it is a good time to take a look at seven legislative and regulatory issues that could impact the private equity ...

Although a bipartisan vote in the House last week passed a bill that would exempt private equity fund advisers from SEC registration, the measure's prospects ...

The marketing materials for a private equity fund adviser describe the latest entity to drop into its portfolio as a "leading company." Must you keep ...