SEC Chairman Jay Clayton recently noted that: “Many small businesses face difficulties raising the capital they need to grow and thrive . . . [and] finders may play an important role in facilitating capital formation for...more
10/12/2020
/ Accredited Investors ,
Broker-Dealer ,
Capital Formation ,
Capital Raising ,
Comment Period ,
Finders ,
Registration Requirement ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Small Business ,
Small Offering Exemptions
On April 16, 2019, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert summarizing numerous issues it found in its recent examinations of SEC-registered...more
5/2/2019
/ Broker-Dealer ,
Customer Privacy ,
Data Privacy ,
Data Protection ,
Enforcement Actions ,
Investor Protection ,
OCIE ,
Personally Identifiable Information ,
Privacy Notice Rule ,
Registered Investment Advisors ,
Regulation S-P ,
Risk Alert ,
Securities and Exchange Commission (SEC)
On June 1, 2016, the SEC sent a warning to general partners of private investment funds (including private equity funds, hedge funds, venture capital funds and leveraged buyout funds) by entering into a settlement agreement...more