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Avi Badash

Avi Badash

Katten Muchin Rosenman LLP


Latest Posts › SEC

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SEC Reopening Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps

Under the Dodd-Frank Wall Street Reform and Consumer Protection Act, regulatory authority over derivatives is divided between the Securities and Exchange Commission and the Commodity Futures Trading Commission. The SEC has...more

5/15/2013 - CFTC Dodd-Frank Public Comment Rulemaking Process SEC Security-Based Swaps

SEC and CFTC Adopt Joint Rules to Help Protect Investors from Identity Theft

The Securities and Exchange Commission, jointly with the Commodity Futures Trading Commission, adopted rules and guidelines to require certain entities regulated by the SEC and CFTC, such as broker-dealers, mutual funds and...more

4/16/2013 - Broker-Dealer CFTC Data Protection Identity Theft Investment Adviser Mutual Funds SEC

SEC Seeks Information to Assess Standards of Conduct and Other Obligations of Broker-Dealers and Investment Advisers

The Securities and Exchange Commission issued a request for data and other information that the SEC will review while considering alternative standards of conduct for broker-dealers and investment advisers when they provide...more

3/13/2013 - Broker-Dealer Dodd-Frank Fiduciary Duty Investment Adviser SEC

SEC Issues Frequently Asked Questions on Exemption from Broker-Dealer Registration Under the JOBS Act

The Securities and Exchange Commission’s Division of Trading and Markets has issued Frequently Asked Questions (FAQs) that provide guidance on the exemption from broker-dealer registration in Section 201(c) of the Jumpstart...more

2/12/2013 - Advertising Broker-Dealer Exemptions General Solicitation JOBS Act Registration Rule 506 Offerings SEC Section 4(b) Securities Act of 1933

SEC Extends No-Action Letter Permitting Broker-Dealers to Rely on Certain Investment Advisers to Conduct Customer Identification...

The Securities and Exchange Commission has extended a no-action letter dated February 12, 2004 (the 2004 Letter) from the Securities Industry Financial Markets Association (SIFMA) that permits broker-dealers, subject to...more

1/22/2013 - AML Broker-Dealer FinCEN Investment Adviser No-Action Letters SEC SIFMA

SEC Extends Sunset Date for Temporary Rule Regarding Principal Trades with Certain Advisory Clients

The Securities and Exchange Commission has extended the sunset date of Rule 206(3)-3T under the Investment Advisers Act of 1940 (the Act) from December 31, 2012, to December 31, 2014. Rule 206(3)-3T is a temporary rule that...more

1/9/2013 - Investment Adviser SEC

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