Beginning May 1, 2013, many new business conduct regulations adopted by the Commodity Futures Trading Commission (“CFTC”) pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) will begin to...more
- Borrowers CFTC Dodd-Frank End-Users ISDA Municipal Bonds Recordkeeping Requirements Swap Dealers Swaps
In two recent no action letters, the Securities and Exchange Commission (the “SEC”) granted no action relief for two venture capital online funding platforms, the FundersClub, Inc. (“FundersClub”) and AngelList, LLC...more
- Accredited Investors AngelList Broker-Dealer Carried Interest Fundersclub.com No-Action Letters Private Placements SEC Securities Exchange Act
In an effort to enhance oversight and investor protection over private placement activity of firms on behalf of other issuers, new Financial Industry Regulatory Authority, Inc. (FINRA) Rule 5123 became effective on December...more
- Commodity Pool Exemptions FINRA Private Investment Funds Private Placements Securities
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