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Searching Content indexed under M&A/Private Equity by R. Scott Beach ordered by Published Date Descending.
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FINRA Seeks SEC's Approval For "Capital Acquisition Broker" Rules
On December 4, the Financial Industry Regulatory Authority (FINRA) filed with the Securities and Exchange Commission (SEC) a proposed rule change to create a separate rule set (Capital Acquisition Broker Rules) for brokers that are solely corporate financing firms that advise companies on mergers and acquisitions, advise issuers on raising debt and equity capital in private placements with institutional investors, or provide strategic and financial advisory services.
United States
23 Dec 2015
2
Increased SEC Focus on Broker-Dealer Registration Issues for Private Fund Managers
The Securities and Exchange Commission (SEC) is cracking down on private fund [1] managers for not using registered broker-dealers for fundraising.
United States
13 Apr 2013
3
Updated SEC Guidance On The Family Office Exclusion
Family offices are entities established by wealthy families to manage their wealth, plan for their families' financial future, engage in investment opportunities and provide other services to family members.
United States
18 Apr 2012
4
SEC Adopts Rules Implementing Dodd-Frank Investment Adviser Registration And Exemption Requirements
The Securities and Exchange Commission ("SEC") recently issued final rules and rule amendments implementing certain provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank") that amend the Investment Advisers Act of 1940, as amended ("Advisers Act").
United States
13 Jul 2011
5
Dodd-Frank Act Impact on Investment Advisers and Private Investment Funds
On July 21, 2010, the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act") was signed into law by the president. Title IV of the Dodd-Frank Act, "Regulation of Advisers to Hedge Funds and Others," contains provisions that significantly change the registration requirements and regulation of investment advisers.
United States
 
26 Jul 2010
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