Law Blog Category: Uncategorized

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

The U.S. Capital Markets Clearance And Settlement Process

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