Securities & Exchange Commission (SEC)
More Securities & Exchange Commission (SEC) Articles
Private Equity
SEC Cracks Down on Broker-Dealer Registration: Private equity fund advisers are being held accountable for in-house transactions
The Securities and Exchange Commission (SEC) has begun pursuing transaction-based compensation paid to private equity fund advisers relating to portfolio company transactions as illegal brokerage commissions. It continues to target the advisers’ undisclosed use of client fund capital,...
Read MoreFinancial Institutions | Finance | Hedge Funds
Hedge Fund Scrutiny Continues: Heightened attention is driving up costs and increasing transparency
As the hedge fund industry has matured, regulation of funds has intensified, particularly since the global financial crisis beginning in 2008. Kelli Moll, who has been working with fund clients for more than 20 years, provides her perspective on where things stand regarding regulation and...
Read MoreSecurities & Exchange Commission (SEC)
SEC to Implement Crowdfunding Exemption: Regulatory relief aims to help small businesses and start-ups raise capital over the Internet more effectively
More than three years after the JOBS Act was signed into law with bipartisan support, the Securities and Exchange Commission (SEC) voted to adopt final rules on equity crowdfunding. Crowdfunding is a popular and growing means of raising money on the Internet, but it has generally not been used as a...
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