Regulation
SEC Seminar Provides Additional Clarity on Marketing Rule
A seminar hosted by the SEC today discussed some of the applications of the new rule and the expectations of the SEC.
Tag: investment adviser
Regulation
SEC Proposes Reporting Changes for Private Equity, Hedge Fund Advisers
The regulator says the amendments would improve systemic risk assessment and bolster oversight.
Regulation
SEC Charges Adviser With Fraudulently Operating Private Fund
Anthony Cottone allegedly raised nearly $3 million using false and misleading representations, and misappropriated funds.