Elliott Curzon

Elliott Curzon

Dechert LLP

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SEC Adopts New Financial Responsibility and Reporting Requirements for U.S.-Registered Broker-Dealers

The Securities and Exchange Commission (“SEC” or “Commission”) recently approved amendments to its net capital, customer protection, books and records, notification and reporting requirements for broker-dealers, in an effort...more

8/29/2013 - Audits Broker-Dealer Financial Regulatory Reform New Regulations Reporting Requirements SEC Surety & Fidelity

SEC Approves Final Rules that (1) Permit General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings and (2)...

The SEC has amended Rule 506 of Regulation D and Rule 144A under the Securities Act of 1933 (Securities Act) to (1) permit, in certain circumstances, an issuer to engage in general solicitation and general advertising in...more

7/28/2013 - Accredited Investors Advertising Bad Actors Broker-Dealer Dodd-Frank Form D Filing Fund Managers General Solicitation Rule 144A Rule 506 Offerings Safe Harbors SEC Securities Act of 1933 Social Media

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

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