Securities Communications & Media General Business

Read need-to-know updates, commentary, and analysis on Securities issues written by leading professionals.
News & Analysis as of

First Crowdfunding Portal Application Appears on EDGAR

CFS, LLC became the first crowdfunding portal application available on EDGAR. Actually, the initial application and two amendments are available. The company will conduct business under the name uFundingPortal and its website...more

BNA Insights: Regulation Crowdfunding and Small Businesses: A Match Made in SEC-Regulated Heaven?

The Dawn of a New Era in Capital Formation - The need for crowdfunding regulation became apparent after the Securities and Exchange Commission issued a cease and desist order to stop a crowdfunding effort by two men...more

Your daily dose of financial news The Brief – 4.15.16

With regulators’ rejection of big-bank living wills still very fresh in mind, the Upshot suggests that keeping powerful banks “on their toes . . . may end up playing a surprisingly important role in keeping the financial...more

India Relaxes Rules on Foreign Direct Investment in E-Commerce

In Press Note No. 3 released on 29 March 2016 the Government of India (Ministry of Commerce & Industry, Department of Industrial Policy and Promotion) announced that foreign direct investment (“FDI”) of up to 100% would be...more

FinCEN Proposes Imposing BSA Requirements on Crowdfunding Portals

On April 4, FinCEN issued a proposed rule to amend the definitions of “broker or dealer in securities” and “broker-dealer” under the regulations implementing the BSA. Specifically, FinCEN proposed that the definitions be...more

FinCEN Proposes Amendments to Bank Secrecy Act to Cover Crowdfunding Portals

FinCEN, a bureau of the Department of the Treasury, has proposed amendments to the definitions of “broker or dealer in securities” and “broker-dealer” under the regulations implementing the Bank Secrecy Act. This rulemaking...more

Fix Crowdfunding Act Improves JOBS Act

The Fix Crowdfunding Act has been introduced by Representative Patrick McHenry, who was one of the architects of the FAST Act provisions simplifying securities laws. The Fix Crowdfunding Act increases the $1,000,000...more

UK Financial Regulatory Developments - March 2016 #17

FOS publishes latest Ombudsman News - The latest edition of Ombudsman News focuses on cases relating to cars and debt management. (Source: FOS publishes latest Ombudsman News)... FOS responds to feedback on...more

Your daily dose of financial news The Brief – 3.18.16

The Fed’s patience on rate hikes coupled with surging commodities prices (including oil over $40/barrel for the first time since December) helped push the Dow into positive territory for the year – WSJ... So apparently...more

Crowdfunding, Online Payments, and Charitable Fundraising

Nonprofits engaged in fundraising from the general public have been “crowdfunding” for centuries! Now, however, there is a profusion of online crowdfunding platforms of different types, each with its own benefits and...more

Your daily dose of financial news The Brief – 3.9.16

United Continental shareholders (two hedge funds in particular) are not pleased, and they’re looking to former Continental CEO Gordon Bethune to do something about it. Bethune is one of a slate of 6 director candidates put...more

Telecommunications Company Settles FCPA Charges With SEC in Apparent “Sons and Daughters” Case

The SEC announced on March 1 that it settled FCPA charges with a San Diego-based mobile chip maker. The company agreed to pay a $7.5 million civil penalty to resolve charges that it violated the FCPA by hiring relatives of...more

VimpelCom's Global FCPA Settlement - A Multinational Resolution

The U.S. Department of Justice (DOJ), the U.S. Securities and Exchange Commission (SEC) and the Public Prosecution Service of the Netherlands (OM) announced a coordinated criminal and civil Foreign Corrupt Practices Act...more

SEC Crowdfunding Primer – Regime Starting May 16, 2016

The Securities and Exchange Commission (“SEC”) recently released a primer for prospective investors that wish to partake in the new crowdfunding regime. As a reminder, starting May 16, 2016, companies can use crowdfunding to...more

FDIC Dips Its Toes Into Marketplace Lending

Why it matters - In the Winter 2015 edition of the Federal Deposit Insurance Corporation's (FDIC) Supervisory Insights, the agency provided an overview of the marketplace lending model, "a small but growing component of...more

Crowdfunding Investor Bulletin Issued by SEC

On February 16, 2016, the SEC posted an investor bulletin relating to equity crowdfunding intended to educate the public about the process for investing in equity crowdfunding and some of the risks involved. On May 16, 2016,...more

SEC Approves FINRA Portal Rules, Forms for Crowdfunding Under Title III

The U.S. Securities and Exchange Commission (SEC) approved the Financial Industry Regulatory Authority, Inc.'s (FINRA) crowdfunding Portal Rules for companies that want to operate an intermediary “funding portal” pursuant to...more

Corporate and Financial Weekly Digest - Volume XI, Issue 5

SEC/CORPORATE - SEC Approves FINRA’s Funding Portal Rules - On January 22, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s funding portal rules and related forms for...more

Securities Law Considerations in Online Marketplace Lending

Online lending marketplaces have recently emerged as a prominent feature in credit markets. The rapid growth of the marketplace lending industry is reflected in the profusion of names that have been used to describe this type...more

Yahoo! Compensation Litigation – History May Not Repeat Itself but it Often Rhymes

The Delaware Court of Chancery has issued an opinion on a Section 220 demand made against Yahoo! No complaint has yet been filed, and although Vice Chancellor Laster speculates on some inferences that can be drawn, no one has...more

UK Financial Regulatory Developments - January 2016 #13

FCA reinstates unfair contract terms library - FCA has reinstated its unfair contract terms library, which it has reorganised in the light of the Consumer Rights Act (CRA) and CMA guidance. FCA does not intend to publish...more

Crowdfunding Portals Begin to Register With the SEC

The SEC registration process for Title III crowdfunding portals was recently commenced. So far we are aware of one Form Funding Portal that has been filed to begin the registration process. ...more

What's Coming in 2016? Data Security, Social Media and a Busy SEC

Data Security and Data Breaches! No surprises here. We’re getting a little fed up with spectacular stories about compromised personal data, but there is no doubt 2016 will show us more, and companies are adapting and...more

Joining the Crowd: SEC Adopts Final Crowdfunding Regulations - Part III - Intermediaries

On October 30, the U.S. Securities and Exchange Commission (“SEC”) adopted final rules in the form of Regulation Crowdfunding to implement the securities-based crowdfunding exemption in Section 4(a)(6) of the Securities Act...more

Your daily dose of financial news The Brief – 1.25.16

So the bull market may be on its way out of town after a nearly 7-year stretch [care to jump on the “blame the Fed” bandwagon?], but even when combined with usual predictors like declines in industrial production and...more

276 Results
|
View per page
Page: of 12

Follow Securities Updates on:

JD Supra Readers' Choice 2016 Awards

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:

Sign up to create your digest using LinkedIn*

*By using the service, you signify your acceptance of JD Supra's Privacy Policy.

Already signed up? Log in here

*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.
×