On March 12, 2025, the staff of the Division of Corporation Finance at the Securities and Exchange Commission (SEC) issued a no-action letter (NAL) recognizing the reasonableness of one method by which issuers relying on Rule...more
SEC Focus on Disqualification Waivers. When negotiating a settlement of an SEC enforcement action against a registered financial services firm – or one that hopes one day to become registered – it is vital to consider the...more
3/19/2015
/ Banking Sector ,
CFTC ,
Consumer Financial Protection Bureau (CFPB) ,
Disqualification ,
Enforcement Actions ,
Federal Reserve ,
Financial Industry Regulatory Authority (FINRA) ,
Regulation A ,
Regulation D ,
Safe Harbors ,
Securities and Exchange Commission (SEC)
In This Issue: The CFTC provided long-awaited exemptive relief for commodity pool operators that wish to offer their funds in private offerings using general solicitation under Rule 506(c) of the SEC’s Regulation D. ...more
9/18/2014
/ CFTC ,
Commodity Pool ,
Compliance ,
CPO ,
Dodd-Frank ,
Enforcement ,
Enforcement Actions ,
OCIE ,
Private Offerings ,
Regulation D ,
Rule 506(c) ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Swap Dealers ,
Swaps