News & Analysis as of September 25, 2024

The Jump-Start Our Business Start-Ups Act › Financial Stability Oversight Council

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The Jump-Start Our Business Start-Ups Act is a United States federal law enacted in 2012 to increase start-up companies' access to capital by easing certain restrictions on seeking and soliciting private... more +

The Trump Administration: Change By Appointment

Cadwalader, Wickersham & Taft LLP on 11/21/2016

The election of Donald J. Trump as the 45th President of the United States, along with the Republican control of the majority of both the House of Representatives and the Senate, will likely result in significant changes in...more

Financial Services Weekly News Roundup - December 2014 #4

Goodwin on 12/24/2014

Regulatory Developments - SEC Proposes Changes to Exchange Act Registration Requirements to Implement JOBS Act Mandates - The SEC announced that it is proposing rule amendments under the Securities Exchange Act...more

Orrick's Financial Industry Week in Review - October 28, 2013

Orrick, Herrington & Sutcliffe LLP on 10/29/2013

Joint Release on QM Fair Lending Risks - On October 22, the Fed, CFPB, FDIC, NCUA and OCC issued a joint statement to address industry questions on fair lending risks associated with offering only qualified mortgages. ...more

SEC to Focus on Private Fund Adviser Compliance Procedures in Rule 506(c) Offerings

Broker-Dealer Compliance + Regulation on 9/13/2013

With general solicitation and general advertising on the horizon, private fund advisers should review their policies and procedures to determine whether they are reasonably designed to prevent the use of fraudulent or...more

Investment Management Legal + Regulatory Update -- July 2013

Morrison & Foerster LLP on 7/19/2013

In This Issue: Regulatory Updates - SEC Proposes Money Market Reform; SEC Eases Ban on General Solicitation and General Advertising in Certain Private Placements; SEC and CFTC Adopt Joint Rules to Address...more

Crowdfunding And JOBS Act News Roundup – May 31, 2013

Stinson - Corporate & Securities Law Blog on 6/3/2013

President Obama has nominated a pair of Senate aids to be SEC Commissioners. Dr. Michael Piwowar is the Chief Economist for the U.S. Senate Committee on Banking, Housing, and Urban Affairs, a position he has held since 2009. ...more

Financial Services Legislative and Regulatory Update -- May 13‚ 2013

Mintz - Public Finance Viewpoints on 5/13/2013

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week - What had been a relatively quiet week, where until Friday it seemed...more

Financial Services Legislative and Regulatory Update -- April 22, 2013

Mintz - Public Finance Viewpoints on 4/22/2013

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week - It was another incredibly busy week, but obviously our thoughts and...more

Orrick's Financial Industry Week in Review - April 8, 2013

Orrick, Herrington & Sutcliffe LLP on 4/8/2013

UK Financial Services Regulatory Handover - On April 1, the long-awaited handover of power from the FSA to the "twin-peaks system," consisting of the Prudential Regulation Authority (PRA) and Financial Conduct Authority...more

SEC Speaks: Agency Takes Back-To-Basics Approach In Face Of Changing Leadership, Congressional Mandates And New Technologies

Perkins Coie on 2/25/2013

The annual “SEC Speaks” conference, in which Securities and Exchange Commission (SEC) representatives review the agency’s efforts over the past year and preview the year to come, was held on February 22-23, 2013. A...more

Financial Services Legislative And Regulatory Update -- February 18‚ 2013

Mintz - Public Finance Viewpoints on 2/19/2013

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week - President Obama touched on both new and old initiatives in his State of...more

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The Jump-Start Our Business Start-Ups Act › Financial Stability Oversight Council

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