A Practical Guide for Private Equity and Hedge Funds : Registration With…
Read MoreA Practical Guide to Venture Capital Funds: Registration Exemption for “Venture Capital Fund” Advisers from Advisers Act
A Practical Guide to Venture Capital Funds: Registration Exemption for “Venture Capital…
Read MoreLaw Review Article on Crowdfunding Rules Urges SEC to “Keep It Light”
To date, the SEC has received nearly 200 comments on Title III…
Read MoreFINRA Conducting Social Media “Sweeps”
FINRA is currently conducting “spot checks” of how broker-dealers are policing social…
Read MoreIs Policy Shift on the Way for SEC Settlements?
The SEC currently allows investment advisers and other registered entities to resolve…
Read MoreRoses, Farewell and New Beginnings
A couple of weeks ago it was time for my annual pilgrimage…
Read MoreFundersClub and AngelList: Recent No-Action Letters in the Online Funding Platform Space
Earlier this spring, the SEC issued no-action letters to two venture capital/angel…
Read MoreCrowdfunding “Champs” Score White House Invite
Crowdfunding is a Zeitgeist phenomenon. As further evidence of how much it…
Read MoreNew FINRA Arbitrator Rules Take Effect July 1
FINRA’s new rules for arbitrators will take effect on July 1, 2013.…
Read MoreCoalition Calls on SEC Not to Water Down Fiduciary Standard
On July 5, the deadline approaches for comments on the SEC’s cost-benefit…
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