Articles

Results 1 to 5 of 16
Most popular |Most recent


SEC Proposes Relief from Broker-Dealer Registration for Certain Finders

USA - December 8 2020 The SEC recently published in the Federal Register a proposed notice of an exemptive order (the “Proposal”) that would, subject to...

SEC Proposes Relief from Broker-Dealer Registration for Certain Finders

USA - October 13 2020 Today, the SEC published in the Federal Register a proposed notice of an exemptive order (the “Proposal”) that would, subject to...

SEC’s Proposed Broker-Dealer Exemption May Apply to “Finders” for Municipal Securities

USA - October 13 2020 Today, the SEC published in the Federal Register a proposed notice of an exemptive order (the “Proposal”) that would, subject to...

Leonard Weiser-Varon.

Newly Expanded CFIUS Jurisdiction

USA - February 12 2020 On February 13, 2020, new regulations will take effect that will significantly broaden the jurisdiction of the Committee on Foreign Investment in the...

Cory S. Flashner, Alyssa C. Scruggs, Robert G. Kidwell.

Fifth Circuit Court of Appeals Invalidates the 2016 Final Department of Labor Fiduciary Rule and Related Prohibited Transaction Exemptions

USA - April 11 2018 What’s a financial advisor to do? On March 15, 2018, the Fifth Circuit Court of Appeals in Chamber of Commerce of the U.S. v. U.S. Dep’t. of Labor, No...

Alden J. Bianchi.