Edward Eisert

Edward Eisert

Orrick, Herrington & Sutcliffe LLP

Contact  |  View Bio  |  RSS

Latest Publications

Share:

SEC Staff Issues Update Guidance Regarding Cybersecurity

Recently, the Staff of the Division of Investment Management of the Securities and Exchange Commission (the “Staff”) issued updated Guidance that highlights the importance of cybersecurity of registered investment funds and...more

5/4/2015 - Cybersecurity Guidance Update Investment Adviser Investment Funds SEC

SEC Approves Consolidated FINRA Rules 2040 (Payments to Unregistered Persons, Including Foreign Finders)

FINRA Rule 2040 governs the payment of transaction-based compensation by member firms to unregistered persons. Rule 2040(a) – General. Rule 2040(a) directs persons to look to SEC rules to determine whether the activities in...more

3/27/2015 - Broker-Dealer FINRA NASD Registration Requirement SEC

SEC Issues Guidance Regarding Standards Applicable to Waivers of Disqualification under Regulation A and Rules 505 and 506 of...

The disqualification provisions of Rules 262 and 505 under the Securities Act make the exemptions from registration under Regulation A and Rule 505 of Regulation D unavailable for an offering if, among other things, an...more

3/24/2015 - Corporate Issuers Disqualification Good Cause Issuers New Guidance Regulation A Regulation D SEC Waivers

The SEC’s Office of Compliance Inspections and Examinations (OCIE) Publishes Risk Alert On Addressing Cybersecurity Issues for...

On February 3, the SEC’s Office of Compliance Inspections and Examinations (OCIE) published a Risk Alert that contains observations based on examinations of more than 100 broker-dealers and investment advisers....more

2/11/2015 - Broker-Dealer Cybersecurity Investment Adviser OCIE Risk Alert SEC

Regulators Release Guidance on Private Student Loans With Graduated Repayment Terms at Origination

On January 29, the federal financial regulatory agencies (the Board of Governors of the Federal Reserve System, the Consumer Financial Protection Bureau, the Federal Deposit Insurance Corporation, the National Credit Union...more

2/2/2015 - CFPB FDIC Federal Reserve NCUA OCC Private Student Loans Promissory Notes Student Loans

Priorities Focus on Protecting Retail Investors, Assessing Market-Wide Risks and Using Data Analytics

On January 13, the Securities and Exchange Commission announced its Office of Compliance Inspections and Examinations’ (OCIE) priorities for 2015 which focus on three areas: protecting retail investors, especially those...more

1/19/2015 - Broker-Dealer Industry Examinations Investment Adviser OCIE SEC SEC Examination Priorities

Federal Reserve Acts to Extend Conformance Period Under Volcker Rule for Legacy Covered Funds Until July 2017

On December 18, the Federal Reserve Board announced that it has acted under Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, commonly known as the Volcker Rule, to give banking entities until July...more

12/23/2014 - Banking Sector Banks Dodd-Frank Federal Reserve Foreign Investment Fund Hedge Funds Private Equity Volcker Rule

SEC Extends Expiration of Rule 206(3)-3T, Regarding Principal Trades, to December 31, 2016

On December 17, the Securities and Exchange Commission amended Rule 206(3)-3T under the Investment Advisers Act of 1940 to extend the expiration date of the Rule from December 31, 2014 to December 31, 2016. ...more

12/23/2014 - Broker-Dealer Investment Advisers Act of 1940 SEC Time Extensions

SEC Proposes Amendments to Implement JOBS Act Mandate for Exchange Act Registration Requirements

As mandated by the Jumpstart Our Business Startups Act (JOBS Act), on December 17 the Securities and Exchange Commission approved the issuance of proposed amendments to revise the rules related to the thresholds for...more

12/23/2014 - JOBS Act Registration Reporting Requirements Rulemaking Process SEC Securities Securities Exchange Act

Financial Regulators Release 2014 Bank Secrecy Act/Anti-Money Laundering Examination Manual

On December 2, the Federal Financial Institutions Examination Council (FFIEC) released the revised Bank Secrecy Act/Anti-Money Laundering (BSA/AML) Examination Manual. The revisions clarify supervisory expectations and...more

12/9/2014 - Anti-Money Laundering Bank Secrecy Act Banking Sector Examination Manual FFIEC New Amendments OFAC Regulatory Standards

FINRA and MSRB Release Proposals to Provide Pricing Reference Information for Investors in Fixed Income Markets

On November 17, the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB) released companion proposals that would require disclosure of pricing reference information on customer...more

11/25/2014 - Disclosure Requirements FINRA Fixed Income Investments MSRB

SEC Adopts Rules to Improve Systems Compliance and Integrity Rules to Strengthen Technology Infrastructure of Securities Markets

On November 19, the Securities and Exchange Commission voted to adopt new rules designed to strengthen the technology infrastructure of the U.S. securities markets. The rules – together comprising Regulation Systems...more

11/24/2014 - Regulation SCI SEC

The New CFTC Regulatory Regime For Private Fund Managers; First Quarter 2013 Update

The enactment of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) and its implementation by the Commodity Futures Trading Commission (“CFTC”) has ushered in a new era of...more

4/19/2013 - CFTC Commodities Exchange Act Dodd-Frank Exempt Organizations Major Swap Participants Private Funds Reporting Requirements Swap Clearing Swaps

The Extra-territorial Reach of the Broker-Dealer Registration Requirements Under the U.S. Securities Exchange Act of 1934; the...

Background. Rule 15a-6 under the Securities Exchange Act of 1934 (“Rule 15a-6”) provides conditional exemptions from broker-dealer registration for “foreign broker-dealers” that engage in certain specified activities...more

4/10/2013 - Broker-Dealer Investors Rule 15a-6 SEC Securities Exchange Act

14 Results
|
View per page
Page: of 1

All the intelligence you need, in one easy email:

Great! Your first step to building an email digest of JD Supra authors and topics. Log in with LinkedIn so we can start sending your digest...

Sign up for your custom alerts now, using LinkedIn ›

* With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name.
×