Edward Pittman

Edward Pittman

Dechert LLP

Contact  |  View Bio  |  RSS

Latest Posts › Broker-Dealer

Share:

Political Contributions to the Donald J. Trump Presidential Campaign Might Adversely Affect Advisers That Have or Are Seeking...

Last week, Donald J. Trump, the Republican nominee for U.S. president, selected Governor Mike R. Pence of Indiana as his running mate for vice president. The selection of Governor Pence might have implications under the SEC’s...more

7/20/2016 - Broker-Dealer Donald Trump Investment Adviser Municipal Advisers Pay-To-Play Political Contributions Presidential Elections Rule G-37

Pay-to-Play: FINRA Requests SEC Approval of Proposal to Regulate Political Contributions

The Securities and Exchange Commission (“SEC”) recently published for comments rules proposed by the Financial Industry Regulatory Authority, Inc. (“FINRA”) and the Municipal Securities Rulemaking Board (“MSRB”) to regulate...more

1/23/2016 - Broker-Dealer Compensation Disgorgement FINRA Government Entities Look-Back Measurement Period MSRB Municipal Advisers Pay-To-Play Political Contributions Popular Proposed Regulation SEC

Investment Portals Addressed in SEC Staff Guidance Under JOBS Act; No-Action Letters Also Issued

Technology has spawned the formation of new internet-based marketplaces for illiquid and restricted securities. In most instances, these markets are operated by entities registered with the U.S. Securities and Exchange...more

5/15/2013 - AngelList Broker-Dealer Fundersclub.com Funding Portal Investors JOBS Act No-Action Letters SEC Securities Exchange Act

Recent SEC Actions Focus on Broker-Dealer Activity of Private Funds, Highlight Perils, and Generate Controversy

A recent public statement by a member of the senior staff (“Staff”) of the Securities and Exchange Commission (“SEC”) and recent SEC enforcement actions have reminded private equity and other private fund managers (such as...more

4/22/2013 - Broker-Dealer Finders Fund Managers Investment Adviser Marketing Private Funds Ranieri Partners Registration SEC Securities Exchange Act Transaction-Based Compensation

4 Results
|
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:

Sign up to create your digest using LinkedIn*

*By using the service, you signify your acceptance of JD Supra's Privacy Policy.

Already signed up? Log in here

*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. Or, sign up using your email address.
×