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Jill Radloff

Jill Radloff

Leonard, Street and Deinard


Latest Posts › SEC

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8-K’s Announcing Reg FD Social Media Channels Begin; NYSE Weighs In

The SEC opened the barn doors on use of social media, or merely reaffirmed existing guidance, depending on your point of view, in a recent Section 21(a) report....more

4/19/2013 - Facebook Netflix NYSE Regulation FD SEC Social Media

Accredited Crowdfunding, Internet Advertising And General Solicitation

The SEC recently granted two accredited crowdfunding sites exemptions from the broker-dealer rules because the type of carried interest (or close equivalent) used to compensate the site is not transaction based compensation. ...more

4/5/2013 - Accredited Investors Advertising Broker-Dealer Crowdfunding General Solicitation Lamp Technologie Inc SEC

SEC Commissioner Gives Speech On Proxy Disclosure

SEC Commissioner Luis A. Aguilar recently gave a speech setting forth his views on proxy disclosure. Some of the more interesting points were...more

3/1/2013 - Board of Directors Compensation Committee Disclosure Requirements Diversity Dodd-Frank Proxy Statements Proxy Summaries Risk Management SEC

Hedge Funds And Private Equity Groups On SEC Examination Priority List

The Office of Compliance Inspections and Examinations, or OCIE, administers the SEC’s nationwide examination and inspection program. The National Examination Program, or NEP, has published its examination priorities to...more

2/25/2013 - AIFMD Asset Management Conflicts of Interest Dodd-Frank ETFs Hedge Funds Investment Adviser OCIE Portfolio Managers Private Equity Private Equity Funds SEC Sec Examination Priorities

SEC Official Describes Model To Identify Anomalous Accounting Results By Registrants

Craig M. Lewis, Chief Economist and Director, Division of Risk, Strategy, and Financial Innovation, U.S. Securities & Exchange Commission, described the SEC’s “Accounting Quality Model,” or AQM. This model is being designed...more

2/20/2013 - Accounting Quality Model Earnings Management Financial Statements Fraud GAAP SEC

NYSE Adopts Uniform Notice Provision For Listed Issuers

Various NYSE require listed companies to provide notice to the NYSE upon certain events. The methods specified to give notice vary from rule to rule and sometimes no notice method is specified. The SEC has approved an...more

1/22/2013 - Issuers Listing Standards Notice Requirements NYSE SEC

SEC Official Describes Enforcement Priorities For Hedge Funds

Bruce Karpati, Chief, SEC Enforcement Division’s Asset Management Unit, recently described enforcement priorities with respect to hedge funds. He noted the Asset Management Unit, comprised of 75 staff across 11 offices,...more

12/28/2012 - Asset Management Enforcement Hedge Funds Investment Adviser Private Equity Funds SEC

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