FUNDamentals is a periodic digest of news and information specifically for private funds and their managers. In this issue, we highlight some fundraising trends, new marketing rule FAQs, fund liquidity trends (limited...more
6/17/2025
/ Federal Budget ,
Financial Markets ,
Financial Services Industry ,
Fund Managers ,
Investment ,
Investment Funds ,
Investment Management ,
Limited Partnerships ,
Liquidity ,
Private Equity ,
Private Equity Funds ,
Proposed Legislation ,
Regulatory Reform ,
Regulatory Requirements ,
Trump Administration
“The most recent development in the registered investment funds space has been the long-awaited movement toward the SEC granting dual share class ETF exemptive relief. This will be a significant catalyst for growth in...more
5/13/2025
/ Capital Markets ,
ETFs ,
Institutional Investors ,
Investment ,
Investment Funds ,
Investment Management ,
Investment Opportunities ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Tariffs
Licensed by the U.S. Small Business Administration (SBA) under the Small Business Investment Act of 1958, a small business investment company (SBIC) represents a privately owned and operated investment fund that makes...more
Financial disclosure -
A decade of growing transparency -
Welcome to the 2024 Private Funds CFO Fees & Expenses Survey, which has been conducted biennially since 2014. The SEC’s Private Funds Rules have been...more
On January 19, the U.S. Small Business Administration (SBA) published a direct and final rule (the rule), including substantive and technical amendments and clarifications to the Small Business Investment Company Investment...more
1/26/2024
/ Amended Regulation ,
Final Rules ,
Financial Institutions ,
Investment ,
Investment Funds ,
Investment Management ,
Regulatory Reform ,
Reinvestment Funds ,
SBIC ,
Small Business ,
Underserved Locations
A small business investment company (SBIC) is a privately owned and operated investment fund that makes long-term investments in American small businesses and is licensed by the U.S. Small Business Administration (SBA). SBICs...more
10/13/2023
/ Debentures ,
Department of Defense (DOD) ,
Due Diligence ,
Fund Managers ,
Investment ,
Investment Companies ,
Investment Funds ,
Investment Management ,
Investors ,
Joint Venture ,
New Rules ,
Private Funds ,
SBA ,
Small Business
No Place To Hide
The SEC is coming – whether you’re ready or not.
The founding laws of the Securities and Exchange Commission all share the assumption that the best way to protect investors is to ensure transparency...more