James Van De Graaff

James Van De Graaff

Katten Muchin Rosenman LLP

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Corporate and Financial Weekly Digest - Volume IX, Issue 6

In this issue: - SEC Division of Corporation Finance Issues Guidance on Rule 506(c) Private Placements - SEC Issues No-action Relief Regarding Registration of M&A Brokers - CFTC Issues Guidance on New...more

2/11/2014 - Alternative Investment Funds Bank Fraud Banks Brokers CFTC Due Diligence Exemptions Filing Requirements Fraud Investment Adviser Investment Funds No-Action Relief Private Placements Registration Rule 506 Offerings SEC Swap Dealers Swaps

SEC Issues Frequently Asked Questions on Exemption from Broker-Dealer Registration Under the JOBS Act

The Securities and Exchange Commission’s Division of Trading and Markets has issued Frequently Asked Questions (FAQs) that provide guidance on the exemption from broker-dealer registration in Section 201(c) of the Jumpstart...more

2/12/2013 - Advertising Broker-Dealer Exemptions General Solicitation JOBS Act Registration Rule 506 Offerings SEC Section 4(b) Securities Act of 1933

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