On November 24, 2020, the Securities and Exchange Commission (“SEC”) proposed amendments to Rule 701 and Form S-8 (the “Proposals”) under the Securities Act of 1933, as amended (the “Securities Act”)....more
On June 5, 2019, the Securities and Exchange Commission (“SEC”) adopted Regulation Best Interest (“Regulation Best Interest” or “Reg BI”), which establishes a new standard of conduct under the Securities Exchange Act of 1934...more
4/19/2020
/ Best Interest Standard ,
Broker-Dealer ,
Disclosure Requirements ,
Fiduciary Duty ,
Financial Industry Regulatory Authority (FINRA) ,
Form CRS ,
Investment Adviser ,
Investment Management ,
OCIE ,
Regulation Best Interest ,
Retail Investors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Standard of Care ,
Standard of Conduct
“Hello, Dave. You're looking well today.”
In the iconic science fiction movie, 2001: A Space Odyssey, the HAL 9000 computer courteously greeted his astronaut human companion Dave Bowman. HAL was a Heuristically...more
4/21/2017
/ Algorithms ,
Disclosure Requirements ,
Financial Institutions ,
Financial Markets ,
Financial Services Industry ,
FinTech ,
Investment Adviser ,
Popular ,
Regulatory Standards ,
Robo-Advisors ,
Securities and Exchange Commission (SEC)
In This Issue:
- Requirements and Obligations Governing Crowdfunding Offerings
- Regulation of Crowdfunding Portals
- Additional Notable Provisions of the Proposed Rules
- Next Steps
- For More Information...more