SEC/CORPORATE -
SEC Expands Nonpublic Review of Draft Registration Statements -
On June 29, the Division of Corporation Finance (Division) of the Securities and Exchange Commission announced that, beginning on July 10,...more
7/10/2017
/ Bitcoin ,
CFTC ,
Consultation ,
Emerging Growth Companies ,
Financial Conduct Authority (FCA) ,
Initial Public Offering (IPO) ,
JOBS Act ,
MiFID II ,
NFA ,
No-Action Relief ,
Registration Statement ,
Securities and Exchange Commission (SEC) ,
SEFs ,
UK
SEC/CORPORATE -
SEC Division of Corporation Finance Provides Update on Conflict Minerals Rule -
On April 7, the Securities and Exchange Commission Division of Corporation Finance (the Division) issued a statement...more
4/17/2017
/ AML/CFT ,
C&DIs ,
Conflict Mineral Rules ,
Crowdfunding ,
Form SD ,
Futures Commission Merchants (FCMs) ,
Guidance Update ,
JOBS Act ,
No-Action Letters ,
Sanctions ,
UK Brexit
SEC/CORPORATE -
SEC Adopts Technical Amendments to JOBS Act Rules
On March 31, the Securities and Exchange Commission adopted technical amendments to rules adopted by the SEC under the Jumpstart Our Business...more
The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) recently issued several letters affecting commodity pool operators (CPOs):
JOBS Act Harmonization: On September 9,...more
9/16/2014
/ CFTC ,
CPO ,
Disclosure Requirements ,
DSIO ,
General Solicitation ,
JOBS Act ,
Private Offerings ,
Regulation D ,
Reporting Requirements ,
Rule 506(c) ,
Securities and Exchange Commission (SEC)