We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance

Results:1-10 of 277

CPO Fined US $1 Million for Making Prohibited Loans and Advances to CEO From Funds’ Assets
  • Katten Muchin Rosenman LLP
  • USA, Australia
  • May 7 2017

Duet Asset Management Ltd., a Commodity Futures Trading Commission-registered commodity pool operator, agreed to pay a fine of US $1 million to the

FINRA Announces Updates to Private Placement Filer Form
  • Morrison & Foerster LLP
  • USA
  • April 26 2017

On April 21, 2017, FINRA announced updates to the Private Placement Filer Form (“Filer Form”) that FINRA members complete when submitting private

FINRA proposes changes to private placement filer form
  • Morrison & Foerster LLP
  • USA
  • April 11 2017

On March 17, 2017, FINRA filed with the SEC proposed changes to the Private Placement Filer Form ("Filer Form") that FINRA members must complete when

CFTC Permits Unaudited Financial Statements Upon Liquidation of a Series of a Pool That is Also a Registered Investment Company
  • K&L Gates
  • USA
  • February 6 2017

The Commodity Futures Trading Commission (“CFTC” or “Commission”) has provided general exemptive relief to persons registered as commodity pool

SEC Releases New Crowdfunding Rules: Good for Small Companies But at What Cost? - Part 3
  • The Long Law Group, PC
  • USA
  • May 18 2016

The Securities and Exchange Commission (the “SEC”) adopted final rules under the JOBS Act that permit crowdfunded offerings. As of May 16, 2016

SEC adopts final Crowdfunding Rules
  • Kilpatrick Townsend & Stockton LLP
  • USA
  • November 17 2015

Title III of the Jumpstart Our Business Startups Act of 2012 (the “JOBS Act”) was enacted with the intent of enabling small issuers greater access to

The financial report December 11, 2014 - exchanges and self-regulatory organizations
  • DLA Piper
  • USA, Global
  • December 11 2014

The Financial Industry Regulatory Authority issued two Retrospective Rule Review Reports assessing, respectively, the effectiveness and efficiency of

The financial report November 13, 2014 - exchanges and self-regulatory organizations
  • DLA Piper
  • USA
  • November 13 2014

A survey conducted by the Financial Industry Regulatory Authority found that 92 percent of investors agreed (62 percent strongly agreed and 30

President signs the Jumpstart Our Business Startups Act
  • Winston & Strawn LLP
  • USA
  • April 9 2012

Today the President signed into law the Jumpstart Our Business Startups Act (JOBS Act), H.R. 3606. The JOBS Act is designed to enhance capital formation and improve access to capital markets.

FINRA to require electronic submission of annual audit reports
  • Orrick, Herrington & Sutcliffe LLP
  • USA
  • October 10 2011

On October 30, FINRA announced the revision of the process by which member firms submit annual audited financial statements pursuant to Rule 17a-5(d) under the Exchange Act.