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Financial Regulatory Reform › Securities and Exchange Commission (SEC) › Registration Requirement

Carlton Fields

SEC Deep-Sixes Its Expanded “Dealer” Definition

Carlton Fields on

Last year, the Securities and Exchange Commission amended its definition of “dealer” to require broker-dealer registration by some persons or entities previously considered securities “traders” not subject to such...more

Mayer Brown Free Writings + Perspectives

SEC Proposes Rule Changes to Exempt Offering Framework

Mayer Brown Free Writings + Perspectives on

On March 4, 2020, the Securities and Exchange Commission (“SEC”) proposed amendments to the current framework of registration exemptions and safe harbors. ...more

Cadwalader, Wickersham & Taft LLP

CFTC Codifies Registration and Reporting Relief for Commodity Pool Operators and Commodity Trading Advisors

Cadwalader, Wickersham & Taft LLP on

The Commodity Futures Trading Commission (the “CFTC”) approved the publication of two releases (the “Final Rules”) on November 25, 2019, adopting final amendments to Part 4 of the CFTC Rules which codify and expand a number...more

A&O Shearman

SEC Proposes Modifications to Cross-Border Application of Security-Based Swaps Regime

A&O Shearman on

The Securities and Exchange Commission (SEC) continues to take steps toward implementation of its security-based swap (SBS) dealer registration framework. A particular area of concern for market participants has been how the...more

Stinson - Corporate & Securities Law Blog

SEC Adopts Rules to Permit Public Companies to Use Regulation A+

Stinson - Corporate & Securities Law Blog on

As required by the Economic Growth, Regulatory Relied and Consumer Protection Act, the SEC has adopted final rules which will permit public companies to rely on the exemption from registration to offer securities in amounts...more

Cadwalader, Wickersham & Taft LLP

Definitely Maybe? The SEC Returns to Security-Based Swap Dealer Regulation

Cadwalader, Wickersham & Taft LLP on

The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) was signed into law eight years ago. ...more

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