News & Analysis as of September 22, 2024

Cybersecurity › Securities and Exchange Commission (SEC) › Private Placements

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Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk... more +

Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk management, global regulations, data protection, leaks, hacking, cyber insurance, compliance, HIPAA, and every other aspect of cybersecurity of import to corporate readers right now. less -

Expect Focus - Volume II, May 2024

Carlton Fields on 5/29/2024

Last Lap in SEC RILA Rulemaking Critical Unresolved Issues - Congress directed the SEC to adopt a new registration statement for registered indexed annuities (RILAs) by the end of June. Several months ago, the SEC...more

How to Address Cybersecurity Risks In A Private Placement Memorandum

Levenfeld Pearlstein, LLC on 5/5/2021

The Securities and Exchange Commission (the “SEC”) requires companies to disclose the most significant factors that make investments in the company speculative or risky. Private Placement Memorandums (“PPMs”) are often used...more

Common Trends in FINRA and SEC Regulatory Priorities

Baker Donelson on 3/2/2016

Each year, both the Financial Industry Regulatory Authority (FINRA) and the United States Securities and Exchange Commission (SEC) issue guidance concerning their regulatory priorities for the coming year. This year, FINRA...more

Securities Litigation and Enforcement Newsletter

Fenwick & West LLP on 9/18/2015

A CD or not a CD, That is the Question… That the Auditors Should Have Answered - A headline-grabbing SEC enforcement action last week against BDO USA and several of its national partners may lead audit firms to insist on...more

FINRA Offers Regulatory Road Map for 2013

BakerHostetler on 2/7/2013

On January 11, 2013, the Financial Industry Regulatory Authority (FINRA) issued its annual Regulatory and Examination Priorities Letter (Priorities Letter) to member firms, which highlights its primary areas of focus for the...more

A Compilation of Enforcement and Non-Enforcement Actions - January 31, 2013

Foley & Lardner LLP on 1/31/2013

In This Issue: Non-Enforcement Matters - FINRA Announces Regulatory and Examination Priorities for 2013 - SEC Previous Hedge Fund Enforcement Trends for 2013 Enforcement Matters - Another...more

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