News & Analysis as of

Amended Regulation Exemptions

DarrowEverett LLP

Private Placements in Florida Just Got Easier: Here’s How

DarrowEverett LLP on

Florida recently implemented amendments to its Securities and Investor Protection Act (“Chapter 517”), bringing significant changes to the regulatory framework governing private placements, investment advisors, and exemptions...more

Foley Hoag LLP

QPAM Amendment – Action Required by Investment Managers

Foley Hoag LLP on

The U.S. Department of Labor (“DOL”) has amended the qualified professional asset manager (“QPAM”) class prohibited transaction exemption 84-14 (“QPAM Exemption”), effective as of June 17, 2024 (“QPAM Amendment”)....more

Seward & Kissel LLP

DOL Updates Procedures for Prohibited Transaction Exemption Applications

Seward & Kissel LLP on

On January 24, 2024, the U.S. Department of Labor (DOL) published the final rule amending the procedures for filing an individual prohibited transaction exemption application.  The amended regulation (the “Procedures”)...more

Eversheds Sutherland (US) LLP

On the right track: Securities & Exchange Commission adopts rules to streamline private offering exemptions

On November 2, 2020, the Securities and Exchange Commission (the SEC) voted to adopt final amendments (the Amendments) to “simplify, harmonize, and improve certain aspects of the exempt offering framework.” The Securities Act...more

Williams Mullen

EPA Amends TSCA Definition of “Small Manufacturer”

Williams Mullen on

EPA recently issued a final rule amending Toxic Substances Control Act (TSCA) regulations concerning “small manufacturers” of chemical substances. Companies that meet the regulatory definition of a “small manufacturer” of...more

A&O Shearman

Amended FINRA IPO Allocation Rules to Take Effect on January 1, 2020

A&O Shearman on

On July 26, 2019, FINRA announced proposed changes to FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and FINRA Rule 5131 (New Issue Allocations and Distributions) to exempt...more

Smart & Biggar

Countdown to July 1, 2020: Getting Ready for the New Patented Medicines Pricing Regime

Smart & Biggar on

On August 21st, the long-awaited amendments to the Patented Medicines Regulations were published in Part II of the Canada Gazette. We have prepared an unofficial consolidated version of the Regulations incorporating the...more

Smart & Biggar

Canada releases final amendments to Patented Medicines Pricing Regulations; in force July 1, 2020

Smart & Biggar on

On August 9, 2019, Health Canada announced the final amendments to the Patented Medicines Regulations (see news release here and RIAS here). These amendments represent the first substantive revision to the Regulations since...more

Dorsey & Whitney LLP

Updated Alert: Governor Brown Signs Amendments to the California Consumer Privacy Act of 2018

Dorsey & Whitney LLP on

On June 28, 2018, the California Legislature unanimously passed, and the Governor immediately signed, a sweeping expansion of data privacy protections for residents of California. Assembly Bill No. 375, entitled the...more

Ballard Spahr LLP

Washington Amends Mortgage Servicing Regulations

Ballard Spahr LLP on

The Washington Department of Financial Institutions (DFI) amended its regulations under the Consumer Loan Act, effective September 1, 2018. Changes are made to a variety of provisions, including licensing coverage and various...more

Dorsey & Whitney LLP

Silver Lining Playbook: Ninth Circuit Reverses Retroactive Application of TCPA Amendment Limiting Liability for Calls Made to...

Dorsey & Whitney LLP on

In 2015, Congress enacted an amendment to the TCPA that exempted calls made in an effort to collect upon federally-backed debt. The amendment seemed straightforward enough. By adding the word “except” to the statute,...more

Moore & Van Allen PLLC

As Agency Enforcement Efforts Mount, CFTC Prohibits Private Lawsuits Against RTOs/ISOs for Market Manipulation

Moore & Van Allen PLLC on

Incidents of alleged fraud and market manipulation in the energy markets increasingly have received the attention of federal agency enforcement efforts, including the Federal Energy Regulatory Commission (FERC) and the...more

Morrison & Foerster LLP - JOBS Act

House Debate Scheduled for Bills Relating to Capital Access for Small Business

Next week, the House is scheduled to debate two bills designed to reduce regulatory burden on small businesses in order to facilitate access to capital. H.R. 5424, the Investment Advisers Modernization Act, was approved by...more

Williams Mullen

Air Program Malfunction Exemption Nixed, But Not Agency Discretion

Williams Mullen on

Virginia’s State Air Pollution Control Board (“Board”) recently amended its regulations to remove the long-standing malfunction exemption available to regulated sources of air pollution for violations of emission limits and...more

Morgan Lewis

Japan FSA Finalizes Amendments to the Article 63 Exemption

Morgan Lewis on

Final text of the Regulations with respect to the Amendments promulgated has been released as well as the Response to the public comments....more

Morgan Lewis

Japan FSA Publishes Draft Enforcement Orders, Cabinet Ordinances, and Supervisory Guidelines for Article 63 Exemption

Morgan Lewis on

New amendments introduce a significant overhaul with respect to the Article 63 Exemption filing process and the ongoing obligations of Article 63 Exemption Operators....more

McDermott Will & Emery

Illinois Health Facilities and Services Review Board Amends Its Procedural Rules

McDermott Will & Emery on

According to its statutory mandate to periodically review and revise its rules, the Illinois Health Facilities and Services Review Board has amended Part 1130 of its rules, which govern the Board's procedural processes, now...more

17 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide