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Private Equity › Investment Advisers Act of 1940 › Reporting Requirements

Cooley LLP

Updated Marketing Rule FAQ Relieves Fund Managers From Calculating Investment-Level Net Returns

Cooley LLP on

On March 19, 2025, staff from the Securities and Exchange Commission (SEC staff) updated its prior guidance regarding the requirement to show net returns of an individual investment, or subset of investments, in compliance...more

Ballard Spahr LLP

Investment Management Update

Ballard Spahr LLP on

Investment Adviser AXA Wins Excessive Fee Trial - A federal judge in New Jersey has ruled in favor of AXA Equitable Life Insurance Company (AXA Equitable) and its wholly owned subsidiary, AXA Equitable Funds Management...more

Broker-Dealer Compliance + Regulation

House Passes Bill to Restore Registration Exemption for Private Equity Fund Advisers

Broker-Dealer Compliance + Regulation on

The United States House of Representatives passed a bill on December 4, 2013, that would restore an exemption from registration to advisers of certain private equity funds that limit leverage, an attempt to undo another...more

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