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,...

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Financial 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...

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Securities & 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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