News & Analysis as of

Private Investment Funds Financial Industry Regulatory Authority (FINRA)

Goodwin

SEC Expands Dealer Definition to Capture Large Traders Regularly Providing Liquidity to the Markets

Goodwin on

High-frequency traders, private funds, decentralized exchange automated market makers, and even state pension plans should consider whether the expanded dealer definition triggers the need to register as a securities dealer...more

Venable LLP

Finders and Unregistered Broker-Dealers

Venable LLP on

The issue of when a person may be considered a “broker” or “dealer” and subject to registration as such under the federal securities laws, as distinguished from so-called finders (and therefore not subject to the panoply of...more

Goodwin

Agencies Issue Final Guidance on Third-Party Risk Management

Goodwin on

Agencies Issue Final Guidance on Third-Party Risk Management - On June 6, the Federal Reserve, FDIC, and OCC issued final joint guidance (the Guidance) pertaining to banking organizations’ risk management of third-party...more

Katten Muchin Rosenman LLP

Financial Markets and Funds Quick Take | Issue 9

New DOL Rule Enables Consideration of ESG Factors in Investing, Plus the SEC Continues its ESG Enforcement Push in the Absence of Final SEC Rules - On November 22, the US Department of Labor (DOL) announced a final rule...more

Proskauer Rose LLP

2016 Proskauer Annual Review and Outlook for Hedge Funds, Private Equity Funds and Other Private Funds

Proskauer Rose LLP on

This special report provides a summary of some of the significant changes and developments that occurred in the past year in the private equity and hedge funds space, as well as certain recommended practices that investment...more

Morrison & Foerster LLP

New Freedoms & Heightened Scrutiny Complicate the US Private Fund Marketing Environment

Originally published in CorporateLiveWire on February 21, 2013. The last few years have witnessed tectonic shifts in U.S. laws and regulations that effect the management and operations of hedge funds, private equity...more

Mintz

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

Mintz on

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

Katten Muchin Rosenman LLP

FINRA Rule Relating to Private Placements of Securities Effective December 3

In the September 14, 2012, edition of Corporate and Financial Weekly Digest, the firm published a summary of the Financial Industry Regulatory Authority’s Rule 5123 regarding private placement of securities...more

Stinson - Corporate & Securities Law Blog

FINRA Releases FAQs On Private Placement Notice Filing Rule

On December 3, 2012, FINRA released a set of FAQs relating to new Rule 5123, which went into effect on December 3 and requires FINRA members to file with FINRA copies of the private placement memorandum, term sheet, or other...more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions - November 30, 2012

Foley & Lardner LLP on

In This Issue: Non-Enforcement Matters - SEC Approves New FINRA Rule on Private Placement Offerings - Private Fund Advisers Come Into Compliance With Dodd-Frank Requirements Enforcement Matters - ...more

10 Results
 / 
View per page
Page: of 1

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