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SEC Staff Recommendations to Amend Regulation S-K Pursuant to Section 72003 of the FAST Act

USA - November 29 2016 On November 23, 2016, the staff (the "Staff") of the Securities and Exchange Commission (the "SEC") released its "Report on Modernization and…

Ze’-ev D. Eiger.

Practice Pointers on the Up-C Structure

USA - May 25 2016 In a structure commonly referred to as an “up-C,” an existing limited liability company or other partnership form (referred to here for convenience…

Remmelt A. Reigersman, Ze’-ev D. Eiger.

Private Secondary Markets and Rule 15c2-11

USA - April 5 2016 Rule 15c2-11 (“Rule 15c2-11”) under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), sets forth procedures for the submission…

Ze’-ev D. Eiger.

NASAA Adopts Model Act on the Prevention of Financial Exploitation of Vulnerable Adults

USA - February 17 2016 On January 22, 2016, the North American Securities Administrators Association (“NASAA”) adopted a model act, entitled “An Act to Protect Vulnerable…

FINRA’s Securities Helpline for Seniors™ Provides Guidance to Broker-Dealers

USA - January 6 2016 In April 2015, the Financial Industry Regulatory Authority (“FINRA”) launched its Securities Helpline for Seniors™ (the “Helpline”). The Helpline…