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SEC Proposal to Exempt Finders from Registration Generates Split Reaction

USA - November 30 2020 A Securities and Exchange Commission (“SEC”) plan to create a registration exemption for certain finders has generated a mixed response. The nearly…

Bochan Kim

SEC Proposal to Exempt Finders from Registration Generates Split Reaction

USA - November 24 2020 A Securities and Exchange Commission (“SEC”) plan to create a registration exemption for certain finders has generated a mixed response. The nearly…

Bochan Kim

Third Circuit Reversal a Pyrrhic Win for SEC in Ongoing Statute of Limitations Saga

USA - October 16 2019 In Securities & Exchange Comm. V. Gentile, No. 18-1242, 2019 WL 4686251 (3d Cir. Sept. 26, 2019), the United States Court of Appeals for the Third…

Christopher J. Bosch

SEC Issues Risk Alert on Customer Privacy Safeguards

USA - April 29 2019 Earlier this month, the Securities and Exchange Commission (“SEC”) took a break from its recent focus on digital assets and the Best Interest…

Christopher J. Bosch

FINRA announces 2019 regulatory priorities

USA - January 30 2019 On January 22, 2019, the Financial Industry Regulatory Authority, Inc. (“FINRA”) released its annual priorities letter highlighting its regulatory…