The SEC has finally approved a new rule to lift the ban…
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 MoreIs Policy Shift on the Way for SEC Settlements?
The SEC currently allows investment advisers and other registered entities to resolve…
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…
Read MoreAre You Ready for JOBS Act 2.0?
As the SEC struggles to meet rulemaking deadlines under the JOBS Act,…
Read MoreSEC Adviser Exams: What to Expect When an Examiner Comes Knocking
Given recent statements by the SEC Chairman Mary Jo White, the SEC…
Read MoreLPL Learns the Hard Way: Make Sure You Save Those Emails
FINRA recently announced that it fined LPL Financial LLC (LPL) $7.5 million…
Read More