SEC

23 stories in the past year · named in 7 more

SEC in the news

23 in the past year

SEC Says Adviser Took $1.2M From Pre-IPO Investment Funds RegulationLaw360Oct 1
SEC Proposal Would Address How Investment Advisers and Funds Can Custody Crypto Assets Under the Federal Securities Laws RegulationSEC Press ReleasesOct 1
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 Moves To Scrap Pay-to-Play Rule RegulationJD SupraSep 11
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 panel questions whether private credit disclosures are keeping pace with retail access RegulationPrivate Equity WireJun 25
SEC enforcement probes CVs amid wider private markets scrutiny RegulationPrivate Equity WireJun 25
SEC and CFTC Propose Significant Amendments to Private Fund Reporting Requirements RegulationLatham & Watkins LLPApr 22

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