Lloyd Harmetz

Morrison & Foerster LLP

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Investment Management Legal + Regulatory Update - April 2016

Regulation - Department of Labor Issues Fiduciary Regulations Under ERISA - The Department of Labor (DOL) issued its long-anticipated final regulation (the “Regulation”) defining who is a fiduciary as a result of...more

4/21/2016 / Broker-Dealer , CFTC , Crowdfunding , Department of Labor (DOL) , Derivatives , Employee Retirement Income Security Act (ERISA) , Financial Industry Regulatory Authority (FINRA) , Securities and Exchange Commission (SEC)

SEC Issues Investor Alert on Crowdfunding

With the May 2016 effective date of the new crowdfunding rules approaching, the SEC is attempting to help prepare the market. On February 16, 2016, the SEC’s Office of Investor Education and Advocacy issued an investor...more

2/18/2016 / Crowdfunding , Early Stage Companies , Fraud , Investors , Offerings , Securities and Exchange Commission (SEC)

FINRA and OCIE: Examining Private Placements

Readers of this blog are familiar with the recent regulatory changes that have created new possibilities for non-registered capital raises in the U.S.: general solicitations in Regulation D offerings, Regulation A+,...more

1/14/2016 / Broker-Dealer , Capital Raising , Crowdfunding , Financial Industry Regulatory Authority (FINRA) , OCIE , Private Placements

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