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The SEC expands its enforcement throughout the digital industry
  • K&L Gates
  • USA
  • September 23 2018

The Securities and Exchange Commission (“SEC” or “Commission”) is ramping up its enforcement efforts in the digital asset industry, expanding its


One-Two-Three Punch: SEC and FINRA Announce Actions Against Unregistered Broker, Digital Asset Manager and FINRA Registered Person
  • Sidley Austin LLP
  • USA
  • September 18 2018

On September 11, the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) separately announced three “first of


One-Two-Three Punch: SEC and FINRA Announce Actions Against Unregistered Broker, Digital Asset Manager and FINRA Registered Person
  • Sidley Austin LLP
  • USA
  • September 18 2018

On September 11, the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) separately announced three “first of


White Collar Enforcement RoundupFinancial Crimes Edition
  • Manatt Phelps & Phillips LLP
  • USA
  • July 21 2016

This month, we look at a sampling of enforcement actions announced in recent weeks by agencies ranging from the DOJ and the SEC on the one hand to


FINRA revises definition of public arbitrator and proposes changes to discovery guide concerning electronic documents
  • Wilson Elser
  • USA
  • June 26 2013

The Financial Industry Regulatory Authority (FINRA), which provides the arbitration forum for resolving disputes between securities firms and


US exchanges and self-regulatory organizations
  • DLA Piper
  • USA
  • June 6 2013

The SEC approved the Financial Industry Regulatory Authority’s amendments to the definition of public arbitrator in the Customer and Industry Codes of


Third party marketers must file PPMs with FINRA
  • Pillsbury
  • USA
  • October 1 2012

Effective December 3, 2012, hedge funds and other private funds that rely on Section 3(c)(1) of the Investment Company Act and which sell their interests through third party marketers, must ensure that their private placement memoranda are filed with FINRA, the Financial Industry Regulatory Authority.


New FINRA Rule 5123 imposes filing obligation for certain private placements
  • Hunton Andrews Kurth LLP
  • USA
  • September 12 2012

New FINRA Rule 5123 will require each FINRA member that sells a security in a private placement, subject to certain exemptions, to file with FINRA a copy of any private placement memorandum, term sheet or other offering document used in connection with such private placement within 15 calendar days after the date of the first sale, or to indicate to FINRA that no such offering documents were used.


Test filing of electronic Form PF is now available for hedge funds and private equity advisers
  • Stinson Leonard Street LLP
  • USA
  • May 24 2012

Hedge funds and private equity advisers with more than $150 million in assets under management that have registered with the SEC as investment advisers will have to begin filing Form PF with the SEC as required by the Dodd-Frank Act.


Regulatory and case law developments relating to hedge fund subscription materials
  • Ropes & Gray LLP
  • USA
  • December 19 2011

This alert highlights several recent regulatory and case law developments affecting hedge fund managers.