A summary of a private equity firm’s compliance obligations, a discussion of notable developments in 2014 and highlights of the SEC’s examination priorities for 2015.
US federal laws and regulations, as well as the...more
Detailed rules will become effective February 2015, with compliance required by November 2015.
On November 19, 2014, the Securities and Exchange Commission (the Commission) adopted new rules for technology...more
As the proposed BitLicense takes shape, New York regulators are engaging in discussions with industry players.
On October 14, 2014 Benjamin N. Cardozo School of Law organized a panel discussion as part of its Tech...more
The CFTC discusses first Bitcoin swap listed on a CFTC-regulated platform and Bitcoin regulation generally with panel of industry participants.
The Global Markets Advisory Committee (GMAC) of the U.S. Commodity...more
The SEC has proposed recordkeeping and reporting rules and capital charges for security-based swap dealers based on the current broker-dealer reporting and recordkeeping regime.
Market participants in the derivatives...more
The amendments simplify and refine the scope of FINRA’s corporate financing and conflict of interest rules in several important respects.
The Securities and Exchange Commission (SEC) recently approved two proposals...more
FINRA proposes a new “lite” registration regime for private placements and M&A activity.
The Financial Industry Regulatory Authority’s (FINRA) recently issued Regulatory Notice regarding proposed rules (Proposed...more
Recent SEC no-action letter provides business brokers relief from federal broker-dealer registration requirement.
On January 31, 2014, the Division of Trading and Markets of the U.S. Securities and Exchange Commission...more
Recent SEC enforcement actions demonstrate the SEC’s increased focus on violations of Rule 105 of Regulation M.
On September 17, 2013, the Securities and Exchange Commission (the SEC) announced enforcement actions...more