John O'Brien

John O'Brien

Morgan Lewis

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SEC Approves General Solicitation in Private Offerings and Proposes Further Regulation D Amendments

On July 10, 2013, the U.S. Securities and Exchange Commission (SEC) issued a series of three releases — referred to in this White Paper as the General Solicitation Release, the Bad Actors Release, and the Proposing...more

7/25/2013 - Advertising Bad Actors Dodd-Frank General Solicitation JOBS Act Marketing Private Placements Regulation D Rule 144A SEC

SEC Warns About Exemptive Order Compliance

Division of Investment Management's guidance reminds firms to comply with conditions and representations in exemptive orders and notes that consequences for noncompliance may be "severe."...more

5/20/2013 - Compliance ETFs Exemptive Orders OCIE OIG SEC

SEC Settles Suit for Misleading Advisory Contract Approval Disclosure

Settlement with mutual fund directors and service providers serves as a reminder of responsibilities for disclosures relating to the approval of investment advisory contracts and provides insight into SEC enforcement...more

5/10/2013 - Advisory Contracts Disclosure Requirements Investment Adviser Investment Company Act of 1940 Mutual Funds SEC Settlement

FINRA Formalizes Position on Pre-Inception Index Performance Data

Interpretive letter outlines the conditions for the use of exchange-traded product marketing materials containing pre-inception index performance, including disclosure requirements, performance presentation standards, and a...more

4/26/2013 - Compliance Disclosure Requirements Exchange-Traded Products FINRA Institutional Investment

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