Richard Levin

Richard Levin

BakerHostetler

Contact  |  View Bio  |  RSS

Latest Publications

Share:

Amended Rule 506 - Lifting the Ban on General Solicitation

At its July open meeting, the Securities Exchange Commission (SEC) approved a rule proposal to amend Rule 506 of Regulation D and Rule 144A under the Securities Act of 1933 (the Securities Act)....more

9/9/2013 - Advertising Broker-Dealer Dodd-Frank General Solicitation JOBS Act Regulation D Rule 144A Rule 506 Offerings SEC Securities Act of 1933

SEC Lifts Ban on General Solicitation in Private Offerings

The Securities and Exchange Commission approved a proposed rule to lift the ban on general solicitation in offerings conducted under Rule 506 of Regulation D. The amendments to the rule were required by Section 201(a) of the...more

7/11/2013 - Advertising General Solicitation JOBS Act Regulation D Rule 506 Offerings SEC

SEC Releases National Examination Program Priorities for 2013

On February 21, 2013, the National Examination Program (NEP), which is administered by the Securities and Exchange Commission's (SEC) Office of Compliance Inspections and Examinations (OCIE), published its examination...more

4/2/2013 - Broker-Dealer Clearing Agents Investment Adviser NEP SEC Transfer Agents

JOBS Act Update

The Securities and Exchange Commission’s (SEC) Division of Trading and Markets and the Financial Industry Regulatory Authority (FINRA) recently published items of particular interest to firms following the progress of the...more

3/11/2013 - Broker-Dealer Crowdfunding FINRA General Solicitation JOBS Act SEC

FINRA Offers Regulatory Road Map for 2013

On January 11, 2013, the Financial Industry Regulatory Authority (FINRA) issued its annual Regulatory and Examination Priorities Letter (Priorities Letter) to member firms, which highlights its primary areas of focus for the...more

2/7/2013 - Algorithmic Trading Cybersecurity FINRA High Frequency Trading Insider Trading Private Placements SEC Securities SIFMA

5 Results
|
View per page
Page: of 1