SEC

32 stories in the past year · named in 14 more

SEC in the news

32 in the past year

SEC Proposes Amendments That Address Retailization and Modernize Regulated Funds RegulationJD SupraOct 2
SEC Proposes Expansion of Accredited Investor Definition RegulationJD SupraOct 2
SEC Proposed a Crypto Custody Framework for Investment Advisers and Regulated Funds RegulationHedgeCo Insights +3Oct 2
The SEC’s Transfer Agent Modernization Proposal: Implications for Onchain Recordkeeping RegulationJD SupraOct 1
SEC Charges Two Individuals With Orchestrating Fraud Scheme That Targeted Veterans RegulationSEC Press ReleasesSep 30
SEC proposes performance fees, interval fund overhaul as private markets push continues RegulationPensions & Investments +5Sep 30
SEC urges greater scrutiny of private asset valuations RegulationPrivate Equity Wire +1Sep 29
SEC Prepares To Relax Fund Cross-Trading Limits RegulationLaw360Sep 21
SEC Risk Alert Highlights Common Deficiencies in Investment Adviser Annual Compliance Reviews RegulationJD SupraSep 18
Form PF Amendments Compliance Date Extension RegulationJD SupraSep 16
SEC Proposes Rescinding Investment Adviser Pay-to-Play Rule RegulationJD SupraSep 8
SEC proposal could give PE more freedom over political donations RegulationPrivate Equity WireSep 7
SEC and CFTC Further Extend Compliance Date for the 2024 Form PF Amendments RegulationJD SupraSep 4
SEC weighs broader retail access to private markets RegulationPrivate Equity WireSep 2
SEC and CFTC delay hedge fund disclosure rules for fourth time RegulationHedgeweekSep 1
Fla. Judge Wants More Public Info In SEC's PE Fraud Suit RegulationLaw360Aug 18
SEC Adopts Technical Amendments to Fund Governance Requirements RegulationJD SupraAug 18
SEC prepares to loosen pay-to-play rule RegulationPensions & InvestmentsAug 17
SEC Charges Boiler Room Operator and Three Entities with Defrauding Retail Investors in $74 Million Pre-IPO Investment Scam RegulationSEC Press ReleasesAug 14
SEC zeroes in on private funds valuations RegulationSecondaries InvestorAug 13
Hedge funds push back as SEC weighs ending mandatory quarterly reporting RegulationHedgeweekAug 11
SEC guidance on activist backers raises concerns over campaign financing RegulationHedgeweekJul 23
SEC tightens disclosure rules for activist hedge funds over identity of campaign backers RegulationHedgeweekJul 13
SEC panel questions whether private credit disclosures are keeping pace with retail access RegulationPrivate Equity WireJun 25
Undeniably Deniable: SEC Rescinds Policy on Denials of Enforcement Settlements RegulationGibson DunnMay 21
SEC, CFTC propose major rollback of private fund reporting requirements RegulationPensions & Investments +4Apr 20
SEC monitors shareholder proposal impact four months after pullback RegulationPensions & InvestmentsMar 10
SEC enforcement manual overhaul signals a new era for firms under investigation RegulationPensions & InvestmentsMar 10
Warren demands SEC release overdue enforcement data RegulationPensions & InvestmentsMar 3
How the SEC’s corporate disclosure system works — and why Atkins wants to overhaul it RegulationPensions & InvestmentsFeb 24
SEC Scrutinizes Jefferies Over First Brands Disclosures RegulationYahoo FinanceDec 1
SEC Lawsuit Accuses Tai Lopez and Business Partners of Running a $112 Million Ponzi-Style Investment Scheme RegulationUSA HeraldOct 19

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