SEC Chair Gary Gensler

SEC adopts new rules for private fund advisors

By Dave Kovaleski  |   August 25, 2023   |   Featured

The Securities and Exchange Commission (SEC) adopted new rules and amendments to enhance the regulation of private fund advisers and update the existing compliance rule. The SEC said that these chang...

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Bill St. Louis

FINRA appoints new head of enforcement

By Dave Kovaleski  |   August 23, 2023   |   Federal

The Financial Industry Regulatory Authority (FINRA) named Bill St. Louis as its new head of enforcement, effective immediately. In this new role, St. Louis will be responsible for the management of a...

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