Edward Eisert

Edward Eisert

Orrick, Herrington & Sutcliffe LLP

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FinCEN Proposes New Rule Requiring Anti-Money Laundering Programs for Registered Investment Advisers

On August 25, 2015, the Financial Crimes Enforcement Network (FinCEN) issued a Notice of Proposed Rulemaking (NPRM) that would define investment advisers registered (or required to be registered) with the Securities and...more

9/1/2015 - Anti-Money Laundering Bank Secrecy Act Currency Transaction Reports (CTR) Dodd-Frank FinCEN Information Sharing Investment Adviser NPRM Patriot Act Recordkeeping Requirements SEC Securities Exchange Act Suspicious Activity Reports U.S. Treasury

No-Action Letter Guidance Under Rule 506(b) of Regulation D.

On August 6, the Staff of the Division of Corporation Finance of the Securities and Exchange Commission issued a no-action letter to Citizen VC, Inc. (“Citizen VC”), the manager of a venture capital investment platform...more

8/12/2015 - Emerging Growth Companies Financial Markets Investors No-Action Letters Rule 506 SEC Special Purpose Vehicles Venture Capital Websites

Personal Securities Transactions Reports By Registered Investment Advisers: Securities Held In Accounts Over Which Reporting...

In a recent Guidance Update, the Staff of the Division of Investment Management of the Securities and Exchange Commission addressed certain issues arising under Section 204A of the Investment Advisers Act of 1940 which...more

7/7/2015 - Investment Adviser Investment Advisers Act of 1940 Material Nonpublic Information SEC

Responses to Frequently Asked Questions Regarding the Commission’s Rule under Section 13 of the Bank Holding Company Act (the...

The Staff of the SEC Division of Trading and Markets, Investment Management, and Corporate Finance provided updated guidance on June 12, 2015 in response to frequently asked questions (“FAQs”) regarding the SEC’s final rule...more

6/23/2015 - Bank Holding Company Bank Holding Company Act Banking Sector Final Rules SEC Volcker Rule

SEC Approves Pilot to Assess Tick Size Impact for Smaller Companies

On May 6, 2015, the Securities and Exchange Commission approved a proposal by the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) for a two-year pilot program that would widen the minimum...more

5/13/2015 - FINRA SEC Small Cap Stocks Tick Size

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 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

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

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

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 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

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