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311 results found

Article

Eversheds Sutherland (US) LLP | USA | 3 Aug 2017

Broker-Dealers and Securities: Top Five Unclaimed Property Issues

While securities have long been a hot spot for unclaimed property issues, the past several years have seen a continued expansion of audit activity

Article

Eversheds Sutherland (US) LLP | USA | 1 May 2017

Annual Determination of Foreign Private Issuer StatusDetermination Date for Many Foreign Private Issuers is Friday, June 30, 2017

It is almost time for foreign companies that operate as foreign private issuers (FPIs) under the US federal securities laws to assess their status as

Article

Eversheds Sutherland (US) LLP | USA | 12 Jan 2017

Is It Safe? Limits of “Safe Harbor” for Temporary Holds on Senior Investor Transactions Under Proposed FINRA Rule 2165

In addition to the recent increase in regulatory focus on senior investors, earlier this fall, the Financial Industry Regulatory

Article

Eversheds Sutherland (US) LLP | USA | 10 Jan 2017

MA ATB Determines a Securities Corporation Subsidiary Must File Required Application to Receive Favorable Tax Status as a Securities Corporation

The Massachusetts Appellate Tax Board (ATB) upheld the Commissioner’s assessment, resulting from a denial of a subsidiary’s securities corporation

Article

Eversheds Sutherland (US) LLP | USA | 25 Oct 2016

Legal Alert: FINRA, SEC Renew Focus on Senior Investors in Immediate Aftermath of FINRA Submission of Proposed Rulemaking to SEC

On October 22-23, members of the Securities Industry, academia, regulators, and public policy experts gathered in Washington, D.C., at the joint

Article

Eversheds Sutherland (US) LLP | USA | 3 Oct 2016

Reversing CourseProposed Regulations Reverse IRS Ruling Position on Treatment of Income from CFCs and PFICs for RIC Qualification Purposes

On September 27, the Internal Revenue Service (IRS) and the Department of the Treasury (Treasury) issued proposed regulations (REG-123600-16) (the

Article

Eversheds Sutherland (US) LLP | USA | 29 Aug 2016

Don’t Hail the CAB - Why FINRA’s Capital Acquisition Broker Rule Set Will Not Get Private Funds to their Destination

For many years, the private fund industry and the securities bar have called for a limited rule set to govern broker-dealers solely engaged in

Article

Eversheds Sutherland (US) LLP | USA | 19 May 2016

FinCEN Customer Due Diligence Final Rules

On May 5, 2016, the U.S. Treasury Department's Financial Crimes Enforcement Network (FinCEN) issued final rules (the Final Rules) on customer due

Article

Eversheds Sutherland (US) LLP | USA | 5 Jan 2016

SEC Moves to Update Transfer Agent Rules; New Rules Likely to Impact Unclaimed Property and Cybersecurity

On December 22, 2015, the Securities and Exchange Commission took the first step in overhauling SEC regulation of transfer agents, the

Article

Eversheds Sutherland (US) LLP | USA | 31 Dec 2015

Hailing a CAB - Does FINRA’s Proposed Capital Acquisition Broker Rule Set Get Private Fund Sponsors to Their Desired Destination?

For many years, the private fund industry and the securities bar have called for a limited rule set to govern broker-dealers solely engaged in

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