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SEC Compliance Consultants, Inc. (SEC³)

Compliance Roundup for April 5, 2024

SEC Compliance Consultants, Inc. (SEC³) on

Compliance Update for the week Ending April 5, 2024 - For our clients and compliance colleagues, this weekly update will give you a quick look at the latest regulatory developments. Enjoy!...more

White and Williams LLP

Finders May Finally Be Keepers: SEC Proposes Rules Allowing for Unregistered Broker-Dealers to Participate in Capital-Raising...

White and Williams LLP on

The ability to raise capital is one of the most critical challenges facing small businesses in the U.S. today. Capital can allow for exponential growth of a well-run startup with a good idea, but the lack of capital is the...more

Troutman Pepper

Crowdfunding Regulations

Troutman Pepper on

On October 30, 2015, the Securities and Exchange Commission (SEC) adopted final crowdfunding rules. More than two years after the publication of the proposed crowdfunding rules, the SEC approved regulations that permit...more

Proskauer Rose LLP

Broker-Dealer Beat - August 2015

Proskauer Rose LLP on

SEC Adopts Registration Rules for Security-Based Swap Entities - On August 5, 2015, the SEC adopted rules and forms governing the registration process for security-based swap dealers and major security-based swap...more

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