Rules & Regulations

This is the SEC's proposal for a cybersecurity rule for investment advisers

Provides for compensation to the investment adviser on the basis of a share of the capital gains

“Ladies and gentlemen, these are my principles,” a great moral philosopher once said. “And if you don’t like them—well, I have others.” For the past ...

This is the SEC's recordkeeping rule tied to good faith fund valuations

This rule gives investment advisers broad fund valuation duties as 'valuation designees'

This is the SEC's derivatives rule approved in 2020

The SEC passed this fund of funds' rule in 2020. It affect investment advisers to mutual funds but not private funds.

"Regulation D ensures that illegitimate issuers no longer need to file registration statements with federal regulators, and for all practical purposes their actions are exempt ...

The final rules are tailored to permit investors with reliable alternative indicators of financial sophistication to participate in such investment opportunities, while maintaining the safeguards ...

A divided SEC has voted to widen definitions of accredited investors in another step that proponents hope will bring more retail investors into the private ...