SEC Releases New FAQs on General Solicitation
Hedge Fund Administrator Enters Into First Individual Deferred Prosecution Agreement with SEC
SEC Charges Manager of Private Equity Fund With Violation of the Custody Rule
SEC Provides Guidance on Definition of “Qualified Client”
SEC Targets Investment Advisers With Previously Identified Exam Deficiencies
SEC is Monitoring General Solicitations
SDRs Announce Procedures to Elect Swap End-User Exception
SEC Brings First Case for Misleading Chief Compliance Officer