Private Equity

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 ...

It was the speech that created a stir. This Spring, David Blass, chief counsel in the SEC's Division of Trading and Markets, put the industry ...

While Forms ADV and PF may be close to your heart, know that there is a slew of other federal regulatory forms that certain advisers ...

Appellate judges have returned a case to District Court that could carry broad ramifications for the way private equity fund advisers do business. Much remains ...

Buyout shops are mixed on whether they will launch advertising campaigns to reach prospective accredited investors now that the SEC has voted to lift a ...