Continue Reading Electronic Blue Sky Filings: NASAA Proposes Model State Rules
New C&DIs on Verification of Accredited Investor Status
Verifying Accredited Investors in Public Rule 506 Offerings: SIFMA Guidance
SEC: Don’t Ignore the Habitually Wrong Whistleblower
Integrated Private Equity Firms Charged With Failure to Register and Pay-to-Play Violations
A Developing Trend: Heightened Scrutiny of Private Equity Fund Advisers
When Will the SEC Bring an Action Against a Chief Compliance Officer?
Unregistered Finder Settles with the SEC, Agrees to Pay Millions
SEC Discusses Troubling Private Equity Practices
