At the October 7, 2020 open meeting of the Securities and Exchange Commission (SEC), Chairman Jay Clayton announced that the Staff of the Commission proposed to grant exemptive relief, permitting natural persons to engage in...more
10/9/2020
/ Accredited Investors ,
Broker-Dealer ,
Capital Markets ,
Exemptions ,
Exemptive Relief ,
Financial Industry Regulatory Authority (FINRA) ,
Finders ,
Investment Advisers Act of 1940 ,
Registered Representatives ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Regulation
On August 26, the U.S. Securities and Exchange Commission (SEC) adopted amendments expanding the definition of “accredited investor” to allow additional categories of investors to invest in unregistered private offerings. The...more
8/28/2020
/ Accredited Investors ,
Amended Regulation ,
Corporate Issuers ,
Employee Retirement Income Security Act (ERISA) ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Limited Liability Company (LLC) ,
Private Equity ,
Private Offerings ,
Privately Held Corporations ,
Registration Requirement ,
Regulation D ,
Rule 144A ,
Rural Business Investment Companies (RBICs) ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Venture Capital