RECENT SEC ENFORCEMENT ACTIONS -
FEES AND EXPENSE ALLOCATIONS -
ECP Manager (Sept. 27, 2019) Administrative Proceeding File No. 3-19535 -
- A PE adviser settled claims which alleged that it caused its fund to overpay...more
On July 10, 2013, the Securities and Exchange Commission (“SEC”) adopted final rules to eliminate the prohibition against general solicitation and general advertising in certain securities offerings under Rule 506 of...more