Nonprofit Quick Tips: State Filings in Alabama and Arkansas
REFRESH Nonprofit Basics: Setting up a New Charity for Disaster Relief
Nonprofit Quick Tip: State Filings in Maryland and Pennsylvania
Nonprofit Quick Tip: State Filings in Virginia and West Virginia
Nonprofit Quick Tip: State Filings in South Dakota and North Dakota
Nonprofit Quick Tip: State Filings in Wisconsin and Minnesota
Nonprofit Quick Tip: State Filings in Illinois and Indiana
Nonprofit Quick Tip: Corporate Filings in Washington, D.C.
Nonprofit Quick Tip: State Filings in Maine and Vermont
Nonprofit Quick Tip: Registration in New York and New Jersey
Nonprofit Quick Tip: State Filings in Alaska and Hawaii
Are You a Foreign Agent? [More with McGlinchey, Ep. 21
Podcast: Credit Funds: Hot Topics in BDC Regulation
New register of beneficial ownership of UK real estate
StraightPath Venture Partners, LLC and PMAC Consulting have recently reached settlements with the US Securities and Exchange Commission (SEC) following SEC enforcement actions against them....more
The recent rule and form amendments adopted by the SEC to facilitate the registration of registered index-linked annuities (RILAs) and market-value adjustment annuities (MVAs) on Form N-4 have been broadly welcomed by the...more
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
Recent SEC actions relating to the definition of “dealer” under the Securities Exchange Act of 1934 may enable the SEC to start cracking the whip over more persons who actively trade securities for their own account “as part...more
Signed into law by President Biden on December 29, 2022, new provisions in the Consolidated Appropriations Act, 2023 (H.R. 2617) (Exemption) exempt certain “M&A brokers” from having to register as broker-dealers with the U.S...more
Key Points - - New proposed SEC rules would expand who may be considered a dealer or a government securities dealer under the Securities Exchange Act of 1934. - If the proposed new rules are adopted, a large group of...more
In This Issue. The Financial Crimes Enforcement Network (FinCEN) announced (1) a notice of proposed rulemaking for beneficial ownership information reporting requirements and (2) a regulatory process for new real estate...more
In This Issue. The Financial Industry Regulatory Authority (FINRA) adopted new rules to address firms with a significant history of misconduct; the Securities and Exchange Commission (SEC) issued an order approving rule...more
On October 7, 2020, the Securities and Exchange Commission (the “SEC”) proposed a limited, conditional exemption from the broker registration requirements of Section 15(a) of the Securities Exchange Act of 1934 (the “Exchange...more
On September 24, 2019, in response to a request for clarification by certain industry groups, the Indiana Attorney General’s Office issued a Memorandum of Legal Guidance (the “MLG”) confirming that the amendments to the...more
The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) was signed into law eight years ago. ...more
In October 2017, the Financial Industry Regulatory Authority (FINRA) announced, through Regulatory Notice 17-30 (the “Notice”),[1] that the U.S. Securities and Exchange Commission (SEC) approved a proposed rule change, which,...more
The U.S. Securities and Exchange Commission brought an action against San Francisco-based Credit Karma on March 12 for issuing employee stock options without a valid registration exemption because the issuer failed to satisfy...more
As required by President Trump’s Executive Order 13772, the U.S. Department of the Treasury issued a report, “A Financial System That Creates Economic Opportunities, Asset Management and Insurance,” addressing the regulatory...more
Financial Industry Developments - CFPB Issues FInal Arbitration Rule - Who Is Covered and How Does It Affect Your Business? The CFPB, after entertaining numerous comments, issued its final arbitration rule on Monday,...more
FHFA Issues Final Rule on Fannie Mae and Freddie Mac Duty to Serve Underserved Markets - On December 13, 2016, the Federal Housing Finance Agency (FHFA) issued a final rule implementing the Duty to Serve provisions...more