Law Blog Category: Uncategorized

The Treasury Department Report To The President On FinTech And Innovation

January 22, 2019 in Uncategorized

This summer, the U.S. Department of the Treasury issued a report to President Trump entitled “A Financial System That Creates Economic Opportunities; Nonbank Financials, Fintech and Innovation” (the “Treasury Report”). The Treasury Report was issued in response to an executive order dated February 3, 2017 which has resulted in a series of such reports. The Read the full article…

The Investment Adviser Advertising Rule

December 27, 2017 in SEC, Uncategorized

On September 14, 2017, the SEC Office of Compliance Inspections and Examinations (“OCIE”) issued a risk alert identifying the most frequent compliance violations to the investment adviser’s advertising rule. The Advertising Rule The “Advertising Rule” found in Rule 206(4)-1 under the Investment Advisers Act of 1940 (the “Advisers Act”) prohibits an adviser from directly or Read the full article…

Florida Broker-Dealer Registration Exemption For M&A Brokers

Following the SEC’s lead, effective July 1, 2016, Florida has passed a statutory exemption from the broker-dealer registration requirements for entities effecting securities transactions in connection with the sale of equity control in private operating businesses (“M&A Broker”). As discussed further below, the new Florida statute, together with the SEC M&A Broker exemption, may have Read the full article…

SEC Issues New C&DI On Use Of Non-GAAP Measures; Regulation G – Part 2

June 07, 2016 in C&DI, GAAP, MD&A, Regulation G, Uncategorized

OTC Markets Amends IPO Listing Standards for OTCQX

SEC Issues New C&DI On Use Of Non-GAAP Measures; Regulation G – Part 1

May 24, 2016 in C&DI, GAAP, Regulation G, Uncategorized

SEC Issues Concept Release On Regulation S-K; Part 2

SEC Issues Final Rules Implementing The JOBS Act And Rules On The FAST Act

SEC Issues Concept Release On Regulation S-K; Part 1

May 03, 2016 in Regulation S-K, SEC, Uncategorized

NASDAQ Listing Requirements

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