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Browse: Home / Rules

Rules

Private Funds Exhale Over SEC Rule Despite Big Compliance Costs

By Securities Docket on August 25, 2023, 8:17 am

The SEC adopted, by a 3-2 vote Wednesday, regulations aimed at increasing transparency in the multi-trillion-dollar private fund industry. But the agency eased—and in some cases abandoned—some of the most contentious parts of its initial proposal. The SEC dropped a plan that would’ve exposed more fund managers to legal liability for mistakes, while softening its […]

Posted in SEC, Top | Tagged Private funds, Rules

SEC Enhances the Regulation of Private Fund Advisers

By Securities Docket on August 24, 2023, 7:53 am

To enhance transparency, the final rules will require private fund advisers registered with the Commission to provide investors with quarterly statements detailing certain information regarding fund fees, expenses, and performance. In addition, the final rules will require a private fund adviser registered with the Commission to obtain and distribute to investors an annual financial statement […]

Posted in SEC, Top | Tagged Private funds, Rules

Reading the Tea Leaves: What Could Cybersecurity Rules Tell Us About Final Climate Change Rules? : TheCorporateCounsel.net Blog

By Securities Docket on August 23, 2023, 7:52 am

Which brings us to the question that everyone is asking these days – what will the final climate change disclosure rules look like? In trying to answer this question like Zoltar, I am encouraged by the outcome we recently observed with the cybersecurity disclosure rules. In March 2022, the SEC originally proposed cybersecurity disclosure rules […]

Posted in SEC, Top | Tagged Climate, Rules

Private Equity, Hedge Funds Brace for Coming SEC Overhaul – WSJ

By Securities Docket on August 7, 2023, 7:37 am

The SEC’s proposed overhaul would require private funds to provide investors with quarterly statements and annual audits, increase their liability for mismanagement or negligence, and prohibit them from giving some investors more-favorable terms than others. In the 18 months since the SEC floated those ideas, private funds and their trade associations have fought to stymie […]

Posted in SEC, Top | Tagged Private equity, Rules

A Proposed SEC Rule is Roiling the VC World – Bloomberg

By Securities Docket on January 18, 2023, 9:36 am

A potential new rule from the US Securities and Exchange Commission is unsettling the venture capital class. The change would make it easier to sue investors for negligence, and could make VCs more culpable for failures at the startups they back. The rule, designed to address “lack of transparency, conflicts of interest” and other problems in the private markets, could […]

Posted in SEC, Top | Tagged Rules, VCs

Approved Amendments to SEC Rules Include Depositions in APs | Compliance Week

By Securities Docket on July 15, 2016, 11:35 am

This week, the SEC announced that it had approved several amendments to its rules of practice regarding administrative proceedings. Most notably, the new rules provide parties to APs — for the first time — with the opportunity to conduct a limited number of depositions. The SEC also made several other minor tweaks to rules governing the timelines […]

Posted in SEC, Top | Tagged APs, Rules

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