Kristin E. Rice-Gonzalez

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United States: SEC Adopts Amendments to the “Accredited Investor” Definition

USA - October 10 2020 On August 26, 2020, the U.S. Securities and Exchange Commission (SEC) adopted amendments that expand the definition of "accredited investor" under…

United States: SEC Adopts Amendments to the “Accredited Investor” Definition

USA - September 4 2020 On August 26, 2020, the U.S. Securities and Exchange Commission (SEC) adopted amendments that expand the definition of “accredited investor” under…

United States: Is the Third Time the Charm? How the Proposed DOL Fiduciary Rule Intersects with Regulation Best Interest

USA - July 2 2020 This week the Department of Labor ("DOL") issued its long-awaited fiduciary rule re-proposal ("the Proposal"), just in time for financial…

A. Valerie Mirko, Amy J. Greer, Jennifer L. Klass, Maura Ann McBreen, Michael J. Poland, Peter K.M. Chan.

North America Tax News and Developments - January 2020

USA - January 29 2020 A familiar element across multiple provisions added or modified under the Tax Cuts and JOBS Act ("TCJAˮ) is a phase out or rate change, with some…

Alexandra Minkovich, Amir Kia Waxman, Christopher Hanna, Imke Gerdes, Joshua D Odintz, Kathryn Rimpfel, Lindsay LaCava, Mary C. Bennett, Michelle A. Martinez, Sarah Calhoun, Wenham Shen.

Amendments to FINRA Rules 5130 and 5131 Provide Greater Flexibility

USA - January 24 2020 The Financial Industry Regulatory Authority (FINRA) has amended Rules 5130 and 5131, which act in combination to govern the offer and sale of new…

Karl Egbert.