Bill Myers
Case could 'open the floodgates' to class-action suits, business groups claim
'Scary' case should worry small- and midsized managers, expert says.
The SEC cannot mandate standalone compliance departments, but the burdens of new rules may make it inevitable.
Regulators overstepped, six trade groups claim in new complaint filed in Fifth Circuit.
Registered advisers struggle with registration, fees, valuations, conflicts of interest and MNPI, Commission data shows
SEC’s expanded exam intensifies focus on fees, expenses, audits, noisy exits and new investors.
The commission's Asset Management Advisory Committee has issued a series of recommendations that would help open up the market even wider to retail investors.
Carried interest, capital gains and SALT all sting but worse may be coming.
Momentus CEO Mikhail Kokorich and his SPAC backers misled investors about Kokorich's national security 'threat,' the Commission claims.
Michael Cohn will spend the next nine months under house arrest after he admitted to creeping into the Commission's database.