On August 6, the Staff of the Division of Corporate Finance of the Securities and Exchange Commission (Staff) released new Compliance and Disclosure Interpretations (C&DIs) relating to “general solicitation” under Rule 502(c)...more
SEC Division of Corporate Finance Issues New CD&Is Relating to General Solicitation and Regulation D -
On August 6, the Staff of the Division of Corporate Finance of the Securities and Exchange Commission (Staff)...more
8/17/2015
/ Banking Sector ,
Broker-Dealer ,
CD&I ,
CFTC ,
Derivatives ,
EFTA ,
EU ,
Exemptive Relief ,
Federal Reserve ,
General Solicitation ,
Major Swap Participants ,
Regulation D ,
Securities and Exchange Commission (SEC) ,
Shadow Banking ,
Small Business ,
Small Business Enterprise and Employment Act ,
UK
In this issue:
- SEC Publishes Guidance for Investment Advisers and Proxy Advisory Firms Regarding Proxy Voting and Solicitation
- SEC Division of Corporation Finance Issues C&DIs Relating to Accredited Investor...more
7/14/2014
/ Accredited Investors ,
Audits ,
C&DIs ,
Exchange-Traded Products ,
Financial Industry Regulatory Authority (FINRA) ,
General Solicitation ,
Hedge Funds ,
Insider Trading ,
Investment Adviser ,
Proxy Advisors ,
Proxy Voting Guidelines ,
Securities and Exchange Commission (SEC) ,
Verification Requirements
On November 13, the Securities and Exchange Commission’s Division of Corporation Finance issued two new Compliance and Disclosure Interpretations (C&DIs) on Rule 144A under the Securities Act of 1933 (Securities Act) and nine...more
On July 10, the Securities and Exchange Commission adopted certain new rules and proposed others applicable to certain securities offerings that are exempt from registration under the Securities Act of 1933 (Securities Act). ...more