Stephen Wink

Stephen Wink

Latham & Watkins LLP

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SEC Adopts Regulation A+ Rules

As amended, Regulation A now provides an exemption from registration for certain issuers offering up to US$50 million of securities in a 12-month period. On March 25, 2015, the Securities and Exchange Commission (SEC)...more

4/8/2015 - Amended Regulation JOBS Act Regulation A SEC Securities Act of 1933 Small Offering Exemptions

Private Equity Fund Managers: Annual Compliance Reminders and New Developments

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

2/26/2015 - Chief Compliance Officers Compliance Dodd-Frank Fund Managers Investment Adviser Investment Advisers Act of 1940 Investment Funds Private Equity Private Equity Funds Regulation D SEC

To Fix the Technology Glitches, SEC Imposes New Regulation SCI on the Markets

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

12/18/2014 - Financial Markets Regulation SCI SEC Technology

Virtual Currencies: New York State Department of Financial Services Discusses Proposed Regulations

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

10/23/2014 - Bitcoins Department of Financial Services Virtual Currency

GMAC/CFTC Hosts Open Meeting Regarding Bitcoin and Digital Currency

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

10/22/2014 - Bitcoins CFTC GMAC Virtual Currency

SEC Proposed Rules: Recordkeeping and Reporting for SBSDs, MSBSPs and BDs; Capital Rules for Certain SBSDs

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

6/6/2014 - Broker-Dealer Compliance MSBSPs Recordkeeping Requirements SEC Security-Based Swaps Stand-Alone SBSDs Swap Dealers Swaps

SEC Approves Significant Amendments to FINRA Rules 5110 and 5121

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

5/23/2014 - Banks Compliance Corporate Governance Financial Regulatory Reform FINRA SEC

FINRA’s Proposed Limited Broker Regime Falls Short of Private Fund Needs

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

3/20/2014 - Brokers FINRA Private Funds Securities Exchange Act

A More Practical Approach to Broker-Dealer Registration

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

2/19/2014 - Broker-Dealer Brokers No-Action Letters SEC Securities Exchange Act

Recent SEC Enforcement Actions Put Spotlight On Prohibited Short Selling

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

10/7/2013 - Compliance Enforcement Actions Regulation M SEC Short Sales

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