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Financial Markets › Registration Requirement › Broker-Dealer

McDermott Will & Schulte

CFTC Staff Letter 25-14: What Is a “U.S. Person”?

McDermott Will & Schulte on

On May 21, 2025, the Commodity Futures Trading Commission’s (CFTC) Market Participants Division and Division of Market Oversight jointly issued Staff Letter 25-14 in response to a request from SCB Limited, a Bahamas-based...more

Jenner & Block

Client Alert: Court Adopts SEC's New Unregistered Dealer Theory, Creates Risk of Disgorgement and Penalties for Anyone Trading...

Jenner & Block on

A broad array of financial market participants—mutual funds, private funds, insurers, pension funds, family offices, individuals, and more—may be at risk after the Securities and Exchange Commission (SEC) secured summary...more

Stinson - Corporate & Securities Law Blog

Press Releases Sink Private Offering

Stinson - Corporate & Securities Law Blog on

The opinion of the SEC in KCD Financial Inc. upholds a FINRA disciplinary action against a FINRA member broker-dealer that sold securities in a private placement when no exemption from registration was available....more

Stinson LLP

Broker-Dealer Violations by Private Equity Fund Adviser

Stinson LLP on

For private equity funds, along with their managers, sponsors, investors, and portfolio companies paying or receiving transaction-based fees, the recent announcement by the Securities and Exchange Commission (SEC) of a...more

Neal, Gerber & Eisenberg LLP

SEC Sends Warning to General Partners of Funds Receiving Finders’ and Other Fees

Neal, Gerber & Eisenberg LLP on

On June 1, 2016, the SEC sent a warning to general partners of private investment funds (including private equity funds, hedge funds, venture capital funds and leveraged buyout funds) by entering into a settlement agreement...more

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