Searching Content indexed under Corporate/Commercial Law by Edward G. Eisert ordered by Published Date Descending.
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Still Waiting: SEC Again Delays Approvals Of Bitcoin ETFs
As further evidence of the SEC's resistance to the development of a regulated secondary market in bitcoin, on August 12 it delayed making a decision on three additional bitcoin exchange-traded fund (ETF) proposals.
United States
23 Aug 2019
The SEC's Second No-Action Relief For Digital Tokens: Meaningful Relief Or A Wolf In Sheep's Clothing?
Pocketful of Quarters, Inc. (PoQ) is the second-ever recipient of no-action relief from the Division of Corporation Finance of the Securities and Exchange Commission for the issuance of "Quarters."
United States
9 Aug 2019
The SEC's Second No-Action Relief For Digital Tokens: Meaningful Relief Or A Wolf In Sheep's Clothing?
Considered as a whole, these conditions are so restrictive and duplicative that they raise doubt as to the necessity of the relief.
United States
8 Aug 2019
SEC Staff Observation From Examinations Of Investment Advisers
On July 23, the SEC Office of Compliance Inspections and Examinations published a Risk Alert on its "Observations from Examinations of Investment Advisers: Compliance, Supervision, and Disclosure of Conflicts of Interest."
United States
31 Jul 2019
SEC/FINRA Joint Statement On Digital Asset Securities Does Not Address Regulatory Log Jam
Last week, the Staffs of the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) (collectively, the Staffs)
United States
29 Jul 2019
SEC And FINRA Confirm Digital Assets A 2019 Examination Priority
Recently, the Staffs of the SEC and FINRA announced their annual examination and regulatory priorities: the SEC's Office of Compliance, Inspections and Examinations issued its 2019 Examination Priorities ...
United States
20 May 2019
The Beat Goes On: Division Of Investment Management Seeks Input On The Impact Of The Custody Rule On Digital Currency – And Vice Versa
As part of its ongoing examination of the Custody Rule, the SEC's Division of Investment Management is seeking views from the securities industry members and the public on two issues regarding the Custody Rule
United States
20 Mar 2019
United States
11 Mar 2019
European Commission Publishes Consultation Paper On Capital Markets Union (CMU) Mid-Term Review
The European Commission published a paper (dated January 20, 2017) requesting feedback and general input on revisions to the CMU action plan.
European Union
31 Jan 2017
SEC Adopts Final Rules To Facilitate Intrastate And Regional Securities Offerings
The Securities and Exchange Commission adopted final rules under Title III of the JOBS Act to permit a company to offer and sell securities through crowdfunding transactions...
United States
9 Nov 2016
FINRA And SEC Announce Tick Size Pilot Program
FINRA and the SEC's Office of Investor Education and Advocacy announced a new National Market System (NMS) Plan that will implement a Tick Size Pilot Program that will widen the minimum quoting and trading increment.
United States
17 Oct 2016
California Enacts Legislation Requiring Public Investment Funds To Make Disclosures Concerning Fees And Expenses Paid To Private Fund Managers
Governor Jerry Brown approved an amendment to the California Government Code, effective January 1, 2017, that requires a "public investment fund," defined to mean "any fund of any public pension or retirement system..."
United States
28 Sep 2016
SEC Adopts Amendments To Form ADV
On August 25, 2016, the Securities and Exchange Commission (SEC) adopted amendments to Form ADV that are designed to provide additional information regarding advisers...
United States
1 Sep 2016
Agencies Finalize Rule Exempting Certain Commercial And Financial End Users From Initial And Variation Margin Requirements
A final rule was announced that contains exemptions for "certain commercial and financial end users from margin requirements for certain swaps not cleared through a clearinghouse."
United States
16 Aug 2016
Federal Reserve Updates Risk Management Supervisory Guidance For Smaller FBOs
On June 8, 2016, the Federal Reserve updated its Supervisory Guidance that partially supersedes SR letter 95-51, "Rating the Adequacy of Risk Management and Internal Controls at State Member Banks and Bank Holding Companies."
United States
20 Jun 2016
SEC Finds That Private Equity Fund Adviser Acted As Unregistered Broker
SEC announced that a private equity fund advisory firm and its owner agreed to pay more than $3.1 million to settle charges that they engaged in brokerage activity...
United States
17 Jun 2016
FinCEN Proposes Funding Portals Regulations Under Bank Secrecy Act
On April 4, 2016, the Financial Crimes Enforcement Network, a bureau of the Department of the Treasury ("FinCEN"), proposed amendments to the definitions of ''broker or dealer in securities''...
United States
15 Apr 2016
SEC Approves Interim Final Rules Implementing Two Provisions Of The FAST Act
The rules will become effective when published in the Federal Register and the public comment period will remain open for 30 days following their publication.
United States
25 Jan 2016
SEC Announces 2016 Examination Priorities
On January 11, the SEC announced its Office of Compliance Inspections and Examinations' (OCIE) 2016 priorities.
United States
25 Jan 2016
SEC Issues Staff Report On Accredited Investor Definition
On December 18, the Securities and Exchange Commission issued a staff report (the "Report") on the definition of "accredited investor" set forth in Rule 501(a) of Regulation D under the Securities Act of 1933.
United States
31 Dec 2015
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