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What Private Fund Advisers Need to Know About SEC's Amended Form PF

The SEC adopted a final rule amending Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. The final rule amendments apply to large hedge fund advisers, private equity fund advisers, and large private equity fund advisers. ....

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Coinbase Sued by the SEC

The SEC sued Coinbase alleging the crypto assets Coinbase made available for trading on its exchange met the definition of securities. If the court accepts the SEC’s position that the SEC has jurisdiction to regulate crypto assets, it will impact the trajectory of crypto. ....

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SEC Amends References Rule on Credit Ratings Under Regulation M

The Securities and Exchange Commission adopted rule changes to remove references to credit ratings from existing exceptions under Regulation M. The SEC adopted a record preservation requirement for broker-dealers utilizing the new exceptions for nonconvertible securities. ....

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Upcoming SEC Regulations and Securities Market Trends

At the Conference On Emerging Trends In Asset Management sponsored by the SEC, Chair Gary Gensler and Director of the SEC’s Division of Investment Management, William Birdthistle highlighted the strengths of recent rulemaking activities and called for greater industry discourse. ....

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SEC Sues Family for New Jersey Deli Stock Manipulation

The SEC charged a father, son, and friend with violation of Sections 17 a 1 and 3 of the Securities Act of 1933 and Section 10b of the Securities Act of 1934 and Rule 10b 5 and the Attorney’s Office for the District of New Jersey filed a 12 count indictment against each of them. ....

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