Update: FINRA announced this week that its recently approved amendments to Rule 5130 (New Issue Rule) and 5131 (Anti-Spinning Rule) will be effective January 1, 2020. See, FINRA Regulatory Notice 19-37, published December 19,...more
12/21/2019
/ Anti-Dilution Terms ,
Anti-Spinning Rules ,
Beneficial Owner ,
Broker-Dealer ,
Corporate Issuers ,
Employee Retirement Income Security Act (ERISA) ,
Fiduciary ,
Financial Industry Regulatory Authority (FINRA) ,
Finders ,
Foreign Investment Entities (FIEs) ,
Foreign Offerings ,
Initial Public Offering (IPO) ,
New Amendments ,
Portfolio Managers ,
Prohibited Transactions ,
Retirement Plan ,
Securities and Exchange Commission (SEC) ,
Sovereign Wealth Funds ,
Special Purpose Acquisition Companies (SPACs)
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
4/22/2013
/ Broker-Dealer ,
Finders ,
Fund Managers ,
Investment Adviser ,
Marketing ,
Private Funds ,
Ranieri Partners ,
Registration ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Transaction-Based Compensation