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Fund Managers › Financial Services Industry › Securities Regulation

SEC Compliance Consultants, Inc. (SEC³)

Latest SEC Document Request Lists: What Private Fund Managers Should be Worrying About

SEC Compliance Consultants, Inc. (SEC³) on

Many private fund managers are breathing a sigh of relief after the Fifth Circuit struck down the Private Fund Rules (check out our blog post for more information). Do not, however, assume the SEC will stop its aggressive...more

Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update: December 1, 2022

Nutter McClennen & Fish LLP on

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges....more

Seyfarth Shaw LLP

SEC Proposes New Rules that would Exempt Certain “Finders” from Registration as Brokers

Seyfarth Shaw LLP on

Seyfarth Synopsis: The Securities and Exchange Commission currently takes the view that "finders" who introduce potential investors to a company must register as brokers if they receive compensation based on the amount of...more

Hogan Lovells

SEC proposes narrow broker-dealer registration exemption for finders

Hogan Lovells on

The U.S. Securities and Exchange Commission (SEC) proposed a new exemptive order on Wednesday, October 7, which would exempt certain “finders” from broker-dealer registration under Section 15(a) of the U.S. Securities...more

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