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Getting ready for FINRA's new research rules: new requirements go into effect February 2016

USA - November 9 2015 The Financial Industry Regulatory Authority (FINRA) recently adopted new rules (particularly, Rule 2242), and changes to its existing rules...

Tim Aron, Daniel M. Hawke, David F. Freeman, Jr., Gilbert R. Serota, Ellen Kaye Fleishhacker.


The SEC targets another prominent fund adviser in latest fee disclosure enforcement action

USA - October 20 2015 On October 7, 2015, the US Securities and Exchange Commission (the Commission or SEC) entered into a settlement agreement with Blackstone Management...

Veronica Rendón Callahan, Daniel M. Hawke, Pratin Vallabhaneni, Kevin J. Lavin, Ellen Kaye Fleishhacker.


The SEC's evolving scrutiny of private equity firms: KKR hit with an unprecedented enforcement action for broken deal expense misallocation

USA - July 2 2015 On June 29, 2015, the US Securities and Exchange Commission ("SEC") charged Kohlberg Kravis Roberts & Co. ("KKR") with misallocating more than US$17...

Veronica Rendón Callahan, Steven Kaplan, Michael D. Trager, Kevin J. Lavin, Ellen Kaye Fleishhacker.


New developments in SEC focus on private funds

USA - December 11 2014 Recently, the SEC has focused, and continues to focus, attention on the details of accounting within private funds. Since publication of our alert...

Veronica E. Rendón, Ellen Kaye Fleishhacker.


SEC issues new guidance on bad actor disqualification from Rule 506 offerings

USA - December 12 2013 On December 4, 2013, the staff of the Securities and Exchange Commission (SEC) Division of Corporation Finance issued new guidance regarding the "bad...

Lily J. Lu, Ellen Kaye Fleishhacker, Aron J. Estaver, Dora D. Pulido.