Terry D. Nelson

Terry D. Nelson

Foley & Lardner LLP

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Latest Posts › Fiduciary Duty


A Compilation of Enforcement and Non-Enforcement Actions

Non-Enforcement - States are Accommodating Crowdfunding Offerings While the SEC Continues to Ponder Crowdfunding Rules - The SEC first proposed rules in October 2013 for the crowdfunding exemption which was included in...more

8/3/2015 - Accountants Asset Valuations Auditors Broker-Dealer Civil Monetary Penalty Crowdfunding DOL Fee Disclosure Fiduciary Duty Hedge Funds Investment Company Act of 1940 Investors JOBS Act Private Equity Funds Public Pension SEC

A Compilation of Enforcement and Non-Enforcement Actions - December 28, 2012

In This Issue: Non-Enforcement Matters: - New SEC Registrants Under Dodd-Frank to Be Focus of SEC Examination Program - FINRA Rule 5123 Revisited Enforcement Matters: - SEC Accuses...more

12/28/2012 - Board of Directors Dodd-Frank Enforcement Fiduciary Duty FINRA Hedge Funds Investment Adviser SEC

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