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SEC Proposes Five Alternative Qualifications for Accredited Investors

02 October 2026

Compliance SEC Registration Private Funds ...

The New SEC EXAMS Handbook: A Clearer Window but Not (Yet) a New Process

01 October 2026

Compliance SEC Registration Private Funds ...

SEC Risk Alert Signals Annual Compliance Reviews Are Falling Short

14 September 2026

Compliance SEC Registration Private Funds ...

SEC Proposes to Rescind Pay-to-Play Rule

04 September 2026

Compliance SEC Registration Proposed Regulation ...

CFTC Proposes Targeted CPO/CTA Exemption for SEC-Registered Advisers

18 August 2026

SEC Registration CFTC Registration and Exemptions CPOs/CTAs ...

CFTC No-Action Letter Steps In the Right Direction Toward Fund Manager Regulatory Relief

15 January 2026

Registration SEC Registration Private Funds ...

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New SEC Marketing Rule FAQs Provide Welcome Relief to Troubling Interpretive Issues

20 March 2025

SEC Registration Private Funds Marketing ...

SEC Marketing Rule Sweep Continues with Another Nine Enforcement Actions Announced

11 September 2024

Compliance SEC Registration Marketing ...

SEC Issues Risk Alert Reminding of US T+1 Settlement Preparation

28 March 2024

SEC Registration Private Funds Settlement ...