lionyawn
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peHUB First Read

First Read explores Snapchat’s new challenge of figuring out how to introduce advertising to its free service, Alibaba founder Jack Ma is China’s richest man and the North Carolina Treasurer, Erskine Bowles and a fundraiser sparks suspicions of private equity pay-to-play.

rainpig
671 Views

peHUB First Read

To start, the first woman has won the prestigious ‘Nobel Prize of Mathematics,’ look beyond IPOs to find this year’s biggest capital raises and a startup believes it has created an AI that can teach itself and will eventually be able to answer almost any question.

07092014JobsAct1
143 Views

The long shadow of the JOBS Act: VCJ

The JOBS Act became law in April 2012 with the promise it would grease the skids of small company IPOs and pave a broader avenue to the capital markets. Two years later, a debate rages over just how wide an opening it has created, affiliate magazine Venture Capital Journal reports.

06242014justice
306 Views

Venture firm gets SEC slap for improper registration exemption

A Pennsylvania-based venture capital firm, TL Ventures, improperly claimed an exemption from the rules of the 2010 Dodd-Frank financial reform law requiring private equity firms to register with the agency as investment advisers, according to a recent ruling by the U.S. Securities and Exchange Commission.

05152014investigation
1512 Views

SEC exam findings a “wake-up call,” says LP

Early investor reaction to the first wave of private equity examinations from the U.S. Securities and Exchange Commission ranges from skepticism, frustration that sponsors don’t provide as much information as investors ask for, to gratitude that the SEC is going to help improve behavior.

05122014regulation
244 Views

Some PE firms chosen for early SEC exams based on risk: Buyouts

A little-noted aspect of the first set of examinations of private equity shops by the U.S. Securities and Exchange Commission is that the agency in some cases picked firms considered to be more likely to have compliance problems, sister magazine Buyouts reported. That fact may help explain the high percentage of problems found.

broker

SEC ponders whether sponsors are broker-dealers

In April of last year, David Blass, chief counsel for the Division of Trading and Markets at the U.S. Securities and Exchange Commission, gave a speech in which he warned that private equity funds might be required to register as broker-dealers in connection with their fundraising activities as well as charging transaction-related fees from their portfolio companies.

gavel

For VCs, SEC Ruling Should Make Fundraising a Bit Easier

The lifting of the ban on general solicitations will likely have the biggest impact on emerging managers seeking new limited partners. But even established VCs should benefit from the change, at the very least because it means they can now publicly discuss fundraising plans.

happy business_shutterstock_47358439

FundersClub Receives No Action Letter From The SEC

FundersClub said it received a no-action letter from the Securities and Exchange Commission. The letter suggests that the SEC will not take action against venture capital advisers who are not registered at broker dealers, the company said.

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SEC Puts Private Equity In Its Sights

An official in the enforcement division of the Securities and Exchange Commission said last month that the agency has its eye on several industry practices that could disadvantage investors, such as the charging of deal fees and the cherry-picking of deals.

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