Mark Wood

Katten Muchin Rosenman LLP

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Latest Posts › Funding Portal

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SEC Approves FINRA’s Funding Portal Rules

On January 22, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s funding portal rules and related forms for entities functioning as SEC-registered funding portals pursuant to...more

2/9/2016 / Financial Industry Regulatory Authority (FINRA) , Funding Portal , Registration Requirement , Regulation C , Securities and Exchange Commission (SEC)

Corporate and Financial Weekly Digest - Volume XI, Issue 5

SEC/CORPORATE - SEC Approves FINRA’s Funding Portal Rules - On January 22, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s funding portal rules and related forms for...more

2/8/2016 / Crowdfunding , Cybersecurity , Deposit Insurance , Derivatives Clearing Organizations , Dodd-Frank , European Securities and Markets Authority (ESMA) , Funding Portal , Major Swap Participants , MiFID II , Pension Schemes

Crowdfunding Portals Can Now Register with the SEC

As discussed in the November 6, 2015 edition of the Corporate and Financial Weekly Digest, on October 30, 2015, the Securities and Exchange Commission adopted “Regulation Crowdfunding,” which consists of final rules that will...more

2/2/2016 / Crowdfunding , Funding Portal , Regulation C , Securities and Exchange Commission (SEC)

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