Library

In this section, you will find the latest research, white papers and cco communiques from the SEC3 Staff.

Changing Paradigm at the SEC
Recent comments by various members of the Securities and Exchange Commission ("SEC"), including its Chairman, Mary L. Schapiro, have pointed to a harmonization approach to regulation of financial industry firms under the purview of the SEC.
Reconciling Hedge Funds, the SEC and Material Non-Public Information
Tu·mul·tu·ous (adjective) marked by violent or overwhelming turbulence or upheaval.
Many hedge fund managers may be feeling the same way; that they are on a tumultuous ride. Who can blame these managers?
The Industry Speaks and the SEC Listens
2009 was a year of turmoil in the financial markets and the economy in general. With abuses and fraud making headlines and regulators being partly blamed for the economic issues, individuals in the financial community seem to be awaiting a wave of regulatory self-protective backlash consisting of potentially unnecessary, and ultimately, ineffective regulations.

SEC Chicago Letter - A precursor for private funds
The SEC seems to be initiating a trend and "pre-screening" managers. An April document request letter to a number of Chicago based advisers offers some insight into this tren...

Guide to SEC Registration of Private Funds
Private Fund Adviser Registration - A white paper prepared by SEC3 describing the SEC registration process for hedge funds and private equity funds pursuant to the Private Fund Investment Ad...

Whats on the SEC's Radar - Top Ten
This past July the SEC published a Compliance Alert summarizing issues found during recent examinations. The following ten discussion items address the top areas addressed by SEC staff in speeches and...

SEC3 Publishes Guide to SEC Registration of Private Fund Investment Advisers Today, July 21st, 2010, the President signed into law the Dodd-Frank Wall Street Reform and Consumer...

SEC3 Offers Private Fund Registration and Compliance Services Our SEC knowledge and private fund experience is what differentiates us from our competitors. ...