News & Analysis as of

Foreign Investment Securities and Exchange Commission (SEC) Investors

Skadden, Arps, Slate, Meagher & Flom LLP

President Trump’s First 100 Days: Impacts and Projections

The first 100 days of a new administration sets the tone for policy direction and regulatory priorities. The following key takeaways from the Trump administration’s first three months highlight significant trends, shifts and...more

Buchalter

SEC Issues Modified CDI's on Private Placements and Offering Exemptions

Buchalter on

On March 12, 2025, the SEC dropped a massive amount of changes to their Compliance and Disclosure Interpretations (CDI’s) related to Regulation D and other forms of exempt offerings, including clarification (and flexibility!)...more

K&L Gates LLP

Asset Management Regulatory Year in Review 2024

K&L Gates LLP on

2024 was a year of meaningful regulatory change for asset managers globally. The regulatory activity was wide ranging and without a particular unifying theme. In fact, the wide, and in cases diverging focuses of key global...more

Vicente LLP

Raising Capital for Your Business: Why Companies Should Avoid Non-Accredited Investors

Vicente LLP on

When raising capital, startups and growing businesses must choose among various terms, structures, filings, and investor types. One decision—whether to include unaccredited investors—should be straightforward. For the reasons...more

Wilson Sonsini Goodrich & Rosati

Crossing the Rubicon: U.S. Securities Law in Transatlantic Venture Financings

If you are a non-U.S. company raising capital from U.S. investors, then updating your register of members and making the required filings in your country of incorporation may not be the only filings required. Even though your...more

Foley Hoag LLP - White Collar Law &...

A Preview of SEC, CFTC, AML, Sanctions and CFIUS Enforcement Priorities Under the Second Trump Administration

As the incoming Trump administration prepares to take office, businesses and investors can expect significant shifts in the enforcement priorities of the Securities and Exchange Commission (SEC) and the Commodity Futures...more

Goodwin

A Win for Deal Certainty, Delaware Court of Chancery Orders Closing of Cake Supplier Acquisition

Goodwin on

A Win for Deal Certainty, Delaware Court of Chancery Orders Closing of Cake Supplier Acquisition; Under Armour to Pay $9M to Settle SEC Charges Involving Disclosure Failures; First Circuit Upholds Decision Applying Federal...more

Bradley Arant Boult Cummings LLP

EB-5 Enforcement on the Uptick

The EB-5 Immigrant Investor Program is one that attracts its fair share of attention, not all of it good, and too much of it from organizations named with that part of the alphabet — SEC and DOJ — that can strike fear in the...more

A&O Shearman

What to Expect from the Biden Administration

A&O Shearman on

The inauguration of Joe Biden as President of the United States has set in motion a number of significant policy changes. In this panel discussion, our U.S. legal and policy specialists shared their insights on what our...more

Akin Gump Strauss Hauer & Feld LLP

Updated: The Practical Impact of the Government Shutdown for Private Parties

The new 116th Congress convened on Thursday, January 3, 2019 as the partial government shutdown, carrying over from the prior Congress, continued into the new year and has now outlasted previous shutdowns. Although the...more

McDermott Will & Emery

SEC Adopts Amendments that Simplify and Update Disclosure Requirements

McDermott Will & Emery on

Last month, the SEC adopted amendments intended to facilitate the disclosure of information to investors, simplify compliance without significantly altering the total mix of information provided to investors, improve...more

Foley & Lardner LLP

Seventh Circuit Disqualifies Conflicted Counsel

Foley & Lardner LLP on

It’s not often that a court disqualifies one of the lawyers who appears before it. That’s what makes the Seventh Circuit’s recent decision in Doe v. Nielsen, No. 17-2040 (7th Cir. Feb. 26, 2018), one for the history books....more

Mintz - EB-5 Financing Viewpoints

“The cold never bothered me anyway!” SEC again uses its power to freeze an alleged EB-5 scam

Like Elsa, the Princess in Disney’s classic Frozen, once again the Securities and Exchange Commission (SEC) has utilized its power to freeze. In this case, the freezing of assets. In what has become an increasingly common...more

Fox Rothschild LLP

SEC Continues Its Focus On EB-5 Immigrant Visa Fraud

Fox Rothschild LLP on

Earlier this year we wrote about the Justice Department’s continuing efforts to combat fraud in the EB-5 immigrant visa program, with the filing of several federal lawsuits seeking the forfeiture of nine real properties...more

Herbert Smith Freehills Kramer

Funds Talk: May 2017 - Securitization Rules Offer Differing Definitions of ‘U.S. Person’

With the long-awaited U.S. rules requiring a level of risk retention in securitizations recently going into effect, an added wrinkle has been created by a slight difference in how “U.S. person” is defined in different...more

Morrison & Foerster LLP - Structured Products

Structured Thoughts: Volume 5, Issue 4 - May 30, 2014

In This Issue: - No More KIDding Around: European Parliament Approves PRIIPs Regulation - FINRA Amends Rule 5110 to Exempt Certain Collective Investment Vehicles from Its Filing Requirements - The Time for the...more

Carlton Fields

Concurrent EB-5 Offerings In The United States And Abroad

Carlton Fields on

Until recently, U.S. offerors and others had to make offerings of EB-5 project investments solely offshore in order to benefit from Regulation S, an exclusion from registration requirements. The offerors had to exclude...more

Katten Muchin Rosenman LLP

SEC Issues FAQs Regarding Rule 15a-6 and Foreign Broker-Dealers

Pursuant to Securities and Exchange Commission Rule 15a-6 adopted under the Securities Exchange Act of 1934, certain exemptions from broker-dealer registration are available for foreign broker-dealers that engage in limited...more

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