The Securities and Exchange Commission recently proposed rules under the JOBS Act that would permit certain private issuers to raise investment capital through crowdfunding over the inter...
In this Report:
In the past month, no rulemaking requirement deadlines passed, six rulemaking requirements were proposed and one rule was finalized to meet a rulemaking requirement.
A...
The third edition of A Practitioner’s Guide to the Regulation of Investment Banking, a guide to the regulation of investment banking activities in the UK, European and international con...
On October 14, 2013, FINRA issued a Report on Conflicts of Interest. The report summarizes FINRA’s observations following an initiative, launched in July 2012, to review conflict manag...
As the second anniversary of FINRA Rule 2111 rule approaches, FINRA has issued Regulatory Notice to Members 13-31 (the “Notice”) summarizing its observations from examinations of firm...
On September 18, 2013, the SEC adopted a final rule (the “Final Rule”) establishing a permanent registration scheme to replace the temporary registration scheme for municipal advisors...
On September 30, 2013, the Securities and Exchange Commission issued a staff response to Frequently Asked Questions (“FAQ”) regarding the role and duties of the Chief Compliance Offic...
On September 18, 2013, the Securities and Exchange Commission adopted its final rule on the permanent registration of municipal advisors. The final rule replaces the current temporary reg...
In the past month, no rulemaking requirement deadlines passed, five rulemaking requirements were proposed and one rule was finalized to meet a rulemaking requirement.
As of October 1, 20...
The Basel Committee on Banking Supervision (“BCBS”) and the International Organization of Securities Commissions (“IOSCO”) on September 2 released their final policy framework on ...
