Registration, Broker-Dealer | JD Supra Law News

SEC Focus on Unregistered Broker-Dealers – Implications for Regulated Entities

by Baker, Donelson, Bearman, Caldwell &... on 5/14/2013

In March, the Securities and Exchange Commission (SEC) announced administrative sanctions against Ranieri Partners LLC, which controls two private equity funds, as well as a former executive of Ranieri and a third-party...more

"SEC Staff Warns That Advisers May Be Required to Register as Broker-Dealers"

by Lauren Heller, Anastasia T. Rockas | Skadden, Arps, Slate, Meagher & Flom LLP on 4/23/2013

On April 5, 2013, David W. Blass, Chief Counsel of the Securities and Exchange Commission’s Division of Trading and Markets, addressed the American Bar Association’s Trading and Markets Subcommittee.1 Mr. Blass’ remarks...more

Recent SEC Actions Focus on Broker-Dealer Activity of Private Funds, Highlight Perils, and Generate Controversy

by Elliott Curzon, Carl de Brito, Edward Pittman, Kevin Scanlan, David A. Vaughan, Kenneth E. Young | Dechert LLP on 4/22/2013

A recent public statement by a member of the senior staff (“Staff”) of the Securities and Exchange Commission (“SEC”) and recent SEC enforcement actions have reminded private equity and other private fund managers (such as...more

SEC No-Action Relief Under the JOBS Act

by Orrick - Structured Finance Group on 4/9/2013

On March 26, the Staff of the Division of Trading and Markets of the SEC provided no-action letter relief from the broker-dealer registration requirements of the Securities Exchange Act of 1934 to FundersClub Inc. and its...more

SEC Comments On Broker-Dealer Registration By Private Fund Advisers

by David Jenson | Leonard, Street and Deinard - Dodd-Frank and... on 4/8/2013

David W. Blass, Chief Counsel, Division of Trading and Markets, SEC, recently gave a speech before the American Bar Association Trading and Markets Subcommittee on April 5, 2013. The topic of the speech was whether and when...more

SEC's Division of Trading and Markets Releases FAQs Regarding Rule 15a-6 and Foreign Broker-Dealers

by Paul S. Lawler | Holland & Knight LLP on 4/8/2013

Rule 15a-6 under the Securities Exchange Act of 1934 provides conditional exemptions from broker-dealer registration for foreign broker-dealers that engage in certain specified activities involving U.S. investors. These...more

SEC Issues FAQs Regarding Rule 15a-6 and Foreign-Broker Dealers

by Orrick - Structured Finance Group on 4/4/2013

On March 21, the Staff of the Division of Trading & Markets of the SEC published a set of FAQs on Rule 15a-6 under the Securities Exchange Act of 1934, which provides conditional exemptions from Exchange Act broker-dealer...more

SEC Ramps Up Its Private Equity Parade

by David Smyth | Brooks Pierce on 3/21/2013

Bruce Karpati, chief of the SEC’s Asset Management Unit, promised us several weeks ago that enforcement actions against private equity firms were about to heat up. He wasn’t kidding. Last Monday, the SEC filed two sets of...more

SEC Issues Frequently Asked Questions on Exemption from Broker-Dealer Registration Under the JOBS Act

by Avi Badash, James Van De Graaff | Katten Muchin Rosenman LLP on 2/12/2013

The Securities and Exchange Commission’s Division of Trading and Markets has issued Frequently Asked Questions (FAQs) that provide guidance on the exemption from broker-dealer registration in Section 201(c) of the Jumpstart...more

Corporate and Financial Weekly Digest - February 8, 2013

by Katten Muchin Rosenman LLP on 2/11/2013

In this issue: - ISS Announces ISS Governance QuickScore to Replace GRId - Petitioners File Opening Brief Challenging SEC’s Conflict Minerals Rule - SEC Roundtable Discusses Decimalization and Tick Sizes -...more

New FAQs On Broker-Dealer Registration Exemption

by David Jenson | Leonard, Street and Deinard - Dodd-Frank and... on 2/8/2013

On February 5, 2013, the SEC released FAQs regarding Section 201 of the JOBS Act, which offers a new limited exemption from broker-dealer registration....more

SEC Charges Indian Firms with Acting as Unregistered Broker-Dealers

by Christopher Poe, David Smyth | Brooks Pierce on 1/8/2013

On November 27th, the SEC charged four Indian financial services firms with acting as unregistered broker-dealers in the United States....more

OSC Staff Provides Guidance for Angel Groups & Internet Funding Platforms

by Andrea C. Johnson | Dentons on 12/21/2012

The Ontario Securities Commission (OSC) recently published OSC Staff Notice 33-738. The Staff Notice contains commentary regarding Internet platforms and other "matchmaking" services that are run by persons who are not...more

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Registration › Broker-Dealer