Steve Ganis

Steve Ganis

Mintz Levin

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Latest Posts › Exemptions


Regulators Approve Final Volcker Rule

After several years and 18,000 comments, yesterday regulators braved a “snow covered” Washington and voted to approve a final rule to prohibit banks from engaging in proprietary trading, known as the Volcker rule. As industry...more

12/12/2013 - CEOs CFTC Dodd-Frank Exemptions FDIC Federal Reserve Hedge Funds Market Making OCC Private Equity Proprietary Trading Reporting Requirements Sovereign Debt Volcker Rule

New FINRA Rule 5123 Regarding Private Placements of Securities Effective December 3, 2012

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

1/4/2013 - Commodity Pool Exemptions FINRA Private Investment Funds Private Placements Securities

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