A private equity firm settled SEC charges for failing to adequately disclose certain fees paid to an affiliated real estate brokerage firm.
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House Committee on Small Business Chairman Roger Williams (R-TX) questioned whether the SEC considered the effects on small investment advisory practices, capital access and innovation when the agency proposed new Exchange and Private Fund Adviser rules.
ISDA urged the SEC to exclude all derivative transactions from its proposed rule amendments that would require funds to provide disclosures as to greenhouse gas emissions.
Numerous buy-side trade associations requested additional time to comment on the SEC's proposed regulation of private fund advisers.
CFTC amendments to the reporting requirements for CPOs and CTAs and Form CPO-PQR were published in the Federal Register.