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Results: 1-10 of 733

SEC staff finds that broker-dealers still are not conducting adequate section 5 reviews

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • October 21 2014

The staff of the SEC recently addressed broker-dealers' obligations when engaging in transactions in unregistered securities by issuing FAQs and a

SEC Small Business Capital Formation Forum

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • October 17 2014

The SEC recently announced that the annual Government-Business Forum on Small Business Capital Formation will be held on November 20th at the SEC in

Referral fees and commission sharing when may broker-dealers share their fees with non-brokers?

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • October 16 2014

FINRA recently filed proposed rule changes with the SEC addressing when broker-dealers may pay referral fees or otherwise share compensation with

IPO market at 930

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • October 13 2014

Click here to view image

Accredited investor definition update

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • October 13 2014

The SEC’s Investor Advisory Committee recommended on Thursday that the definition of “accredited investor” in Rule 501(a) under the Securities Act

New C&DI published on intrastate exemption

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • October 7 2014

Last week, the SEC Staff posted the following C&DI relating to Rule 147 compliance when an issuer uses its own website in connection with a securities

SEC charges broker-dealer for failure to protect against insider trading by employees

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • September 30 2014

The Securities and Exchange Commission for the first time brought charges against a broker-dealer for failure to adequately protect against insider

Reg A debate continues

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • September 29 2014

The debate regarding state preemption for Tier 2 Regulation A offerings appears to continue. Late last week, a group of Congressmen sent a letter to

New data on Rule 506 offerings

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • September 29 2014

Crowdnetic, a provider of technology and market data solutions to the global crowdfinance marketplace, has shared with us for publication data

The more things change.

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • September 23 2014

Today, September 23rd, is the one year anniversary of the effective date of the changes relaxing the prohibition against general solicitation in