SEC Actions

A private equity adviser in suburban Washington, D.C. will pay more than $1 million to settle SEC claims that it inadvertently overcharged its investors managements ...

Goulding commingled in the same bank accounts moneys belonging to himself, Nutmeg, and the Funds

The SEC is proposing to issue an order granting conditional exemptive relief to SEC-registered clearing agencies also registered with the Commodity Futures Trading as DCOs ...

Twelve past staff letters because of Commission action

Fund advisers will be allowed to risk up to 200% of their firms’ portfolios’ value in derivatives under first-of-their-kind rules adopted by a divided SEC ...

The exemption request asks for a ruling to expand the concept of a family office

Rashid claimed as legitimate business expenses a New Year’s trip to Brazil, a friend’s bachelor party and wedding, a flight to the Super Bowl, and ...

"We are expressing a Staff position that an investment adviser relying on the exception for limited partnerships (or limited liability companies or other types of ...

"It’s easier to get good regulations in repudiation to bad Trump administration rules than if you’re starting from scratch under ordinary circumstances."

The charges claim the parties "executed a scheme to misappropriate more than $2.7 billion and distribute the money as bribes and kickbacks to government officials ...