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Searching Content indexed under Securities by Fox Rothschild LLP ordered by Published Date Descending.
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1
Compliance Issues The SEC Is Seeing
The Office of Compliance Inspections and Examinations (or OCIE) recently issued a Risk Alert that identified the five most frequent compliance topics that arising from OCIE examinations.
United States
13 Feb 2017
2
Trump Sets Plan In Motion To Dismantle Dodd-Frank
According to Bloomberg, Trump plans to order a review of Dodd-Frank, with an eye to significantly scale back the regulations.
United States
6 Feb 2017
3
Delaware Supreme Court Addresses The Implied Covenant Of Good Faith And Fair Dealing
In a very recent Delaware Supreme Court decision, Dieckman v. Regency GP LLC, et al., the High Court reversed the Court of Chancery and upheld claims based upon breach of the implied covenant of good faith and fair dealing.
United States
30 Jan 2017
4
One Man's Rogue Broker Is Another Man's Treasure
Like it has in the past, FINRA is sharply focused on examining brokers with a disciplinary past, including the indentification and examination of such brokers being placed at the top of its 2017 exam priorities.
United States
30 Jan 2017
5
Securities Compliance Sentinel
A recent Investment News article highlighted a burgeoning market for financial advisors looking to protect their practices; namely, data breach insurance.
United States
21 Jan 2017
6
One Step Closer: US House Passes Legislation Clarifying VC Pitch Events are not "General Solicitation
On January 10, 2017, the U.S. House of Representatives passed a bill which directs the Securities and Exchange Commission (SEC) to revise Regulation D.
United States
14 Jan 2017
7
SEC's 'Obey-the-Law' Injunction: Is It Ever Possible To Vacate?
"Obey-the-law" injunctions have been the primary enforcement tool utilized by the SEC since the agencies' creation.
United States
12 Jan 2017
8
What Are You Doing To Prevent A Data Breach
A broker-dealer recently agreed to pay a $650,000 fine after an OSJ's cloud vendor failed to adequately protect customer information.
United States
13 Dec 2016
9
SEC Chair White Refuses To Delay New Rules
According to Fortune, outgoing Securities and Exchange Commission Chair Mary Jo White is refusing to delay adoption of new rules and regulations.
United States
13 Dec 2016
10
More Departures Announced By Top SEC Officials
Following up on our earlier report that Mary Jo White, the chair of the Securities and Exchange Commission, will step down at the end of the Obama administration, news of other departures within the SEC has begun to spread.
United States
13 Dec 2016
11
SEC Taking A Closer Look At Non-GAAP Financial Reporting
The takeaway for companies that use non-GAAP metrics in their financial reporting is that the SEC has signaled their intent to increase regulation and enforcement in this area.
United States
8 Dec 2016
12
SEC Chair To Step Down: Path Cleared For Deregulation
The latest post-election domino has fallen. Mary Jo White, the chair of the Securities and Exchange Commission, will step down at the end of the Obama administration.
United States
16 Nov 2016
13
Dodd What
Now that the election is over, it remains to be seen whether a Trump administration will do away with Dodd-Frank and dump the Department of Labor fiduciary duty rule as promised.
United States
9 Nov 2016
14
So Who Wants Senior Clients
In its never-ending effort to thwart senior investor fraud, FINRA recently proposed a new rule to the SEC.
United States
2 Nov 2016
15
Private Equity And Hedge Funds: Regulatory Analysis And Structural Overview
We have produced this handbook as a reference guide for all those who are interested in this exciting field, from potential entrants to those who may be more established and need a quick reference guide.
United States
22 Oct 2016
16
FINRA Regulation of Broker-Dealer Due Diligence In Regulation D Offerings
Under the Securities Act of 1933, as amended (Securities Act), any offer to sell or sale of securities must be registered with the U.S. Securities and Exchange Commission (Commission) or qualify for a registration exemption.
United States
22 Oct 2016
17
FINRA Continuing Membership Application Checklist
The Financial Industry Regulatory Authority (FINRA) Rule 1017 requires broker-dealers to file continuing membership applications (CMAs) if they plan to embark on certain enumerated events such as changes in ownership, control, or business operations. The
United States
22 Oct 2016
18
FINRA Continuing Membership Application Checklist
The Financial Industry Regulatory Authority (FINRA) Rule 1017 requires broker-dealers to file continuing membership applications (CMAs) if they plan to embark on certain enumerated events such as changes in ownership, control, or business operations. The
United States
22 Oct 2016
19
Broker-Dealer Record Keeping Requirements
Registered broker-dealers (BDs) are subject to a variety of recordkeeping requirements that are promulgated and enforced by the U.S. Securities and Exchange Commission (Commission or SEC), the various states, and self-regulatory agencies such as the Financial Industry Regulatory Authority (FINRA).
United States
22 Oct 2016
20
Crowdfunding Intermediaries
On April 5, 2012, the Jumpstart Our Business Startups Act (the JOBS Act) was enacted. Consistent with its name, the JOBS Act sought to help small businesses and start-ups get off the ground and on a path toward success.
United States
22 Oct 2016
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