The United States Supreme Court adopted a strict interpretation of the five-year period in which the Securities and Exchange Commission may seek to impose a civil penalty on a registered investment adviser. In Gabelli v. SEC the Supreme Court ruled that when the government acts in an enforcement capacity seeking civil penalties, it cannot benefit […]
Tag Archives | discovery rule
- Allocation of Broken Deal Expenses
- SEC Loosens the Standards in Trade Monitoring
- Can a Real Estate Fund Manager Be a Venture Capital Fund Manager?
- Compliance Bricks and Mortar for June 19
- I Ask For Your Money
- The SEC Goes After the Gate Keeper
- Whistleblower Retaliation
- Compliance Bricks and Mortar for June 12
- Cyber Insurance: A Pragmatic Approach to a Growing Necessity
- The SEC Suffers a Setback In Its Use of In-House Judges
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Dodd-Frank’ed Real Estate
The Dodd-Frank law brought many real estate private equity firms into the world of the Investment Advisers Act. These are some key stories on the topic:
- Yes, the SEC Wants Real Estate Fund Managers to Register
- Are Real Estate Fund Managers Registered with the SEC?
- Are you an Investment Company?
- Real Estate Funds and the Investment Company Act
- Are you an Investment Adviser?
- Custody and Private Funds
- Private Equity Real Estate Top 50 – 2015 Edition of Who is Registered