President Trump signed into law on October 6, 2017 the Fair Access to Investment Research Act of 2017. The Act directs the U.S. Securities and Exchange Commission (SEC) to amend Rule 139 under the Securities Act of 1933 (1933...more
In response to a request for interpretative guidance, the U.S. Securities and Exchange Commission staff (staff) advised on January 11, 2017 that Section 22(d) of the Investment Company Act of 1940 does not prevent a broker...more
2/2/2017
/ Broker-Dealer ,
Brokers ,
Clean Shares ,
Department of Labor (DOL) ,
Fiduciary Rule ,
Financial Industry Regulatory Authority (FINRA) ,
Interpretive Opinions ,
Investment Company Act of 1940 ,
Mutual Funds ,
Safe Harbors ,
Securities and Exchange Commission (SEC)
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 ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Social Media