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SEC Chairman has ramped up an aggressive regulatory agenda that zeroes in on advisers to private funds. The SEC commissioners approved several proposed rules under the Investment Advisers Act of 1940 which, if passed, would effect the operation of private funds.
US Securities and Exchange Commission (SEC) Chairman Gary Gensler has ramped up an aggressive regulatory agenda that zeroes in on advisers to private funds. On February 9, 2022, the SEC...
It's been almost 12 years since Dodd-Frank mandated, in Section 953(a), so-called pay-versus-performance disclosure, but amazingly, no rules have yet been adopted to implement that mandate.
On December 15, 2021, the Securities and Exchange Commission (the "SEC") voted 3-2 to propose amendments to Rule 2a-7 (the rule governing money market funds) and other rules
On December 15, 2021, the Securities and Exchange Commission (the "SEC") proposed amendments to Rule 10b5-1 that could have a significant impact on trading by individuals who have access to material nonpublic information ("MNPI")...