SEC Continues Review of Private Fund Managers’, Possible Broker-Dealer Activities.
On June 1, 2016, the SEC issued an Administrative Order (SEC 34-77959, 40-4411) against BlackStreet Capital Management, LLC. At the highest level this was a disclosure case. I am however, going to focus on just one of the violations. The SEC found that: In connection with the acquisition and disposition of portfolio companies or their […]