Hillel Cohn

Hillel Cohn

Morrison & Foerster LLP

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The Impact of the SEC’s Final Rules on General Solicitation and Bad Actor Disqualification for Broker-Dealers and Investment...

The SEC recently finalized amendments to Rule 506 of Regulation D and Rule 144A under the Securities Act relaxing prohibitions against general solicitation in certain private offerings of securities implementing Section...more

9/12/2013  /  Bad Actors , Broker-Dealer , Dodd-Frank , Financial Industry Regulatory Authority (FINRA) , General Solicitation , Investment Adviser , JOBS Act , Securities and Exchange Commission (SEC)
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