Home SEC


Peirce and Jackson sworn in as SEC commissioners

The appointments bring the five-person panel to full capacity.

Private equity funds under Trump: one year on

Foley & Lardner partners Greg Husisian and Todd Boudreau, and associate Kevin McNiff, analyze where the administration has left the industry

SEC exams

The Securities and Exchange Commission generally gives firms two weeks’ notice ahead of an exam, but they are beginning to knock on the door much sooner. How can your firm make sure it is ready for inspection?

CFO 2.0: Far beyond the audits

The role of a private equity firm CFO may start with finance and accounting, but it spreads much further than that, as Toby Mitchenall discovered when he sat down with a panel of senior executives and technical experts

Business as usual at the SEC… almost

Enforcement action from the SEC is falling. Is the agency becoming a soft-touch regulator?

No excuses for massaging the truth

The SEC has found numerous incidents of firms breaking its Advertising Rule; it has to stop.

Four lessons from SEC enforcement actions

We assess the agency’s priorities through the lens of recent cases.

The Trojan horse in the room

Private fund managers have improved their cybersecurity policies, but they’ve still a way to go to satisfy the regulators. Why is it proving so hard to be compliant?

What does a repeal of Dodd-Frank mean for PE firms?

Language in the Financial CHOICE Act points to relief for private equity firms from certain requirements, but does it move the needle, asks Jeanette Turner, managing director, chief regulatory attorney, Advise Technologies.

Effective cyber security a must

A hack can be detrimental to a business’s valuation if it is going through a sale process, one expert said at the AM&AA conference.