Recent Posts in Securities Regulation Category
Posted on Jun 29, 2016 By Jack Sousa
Effective as of January 1, 2016, the New Hampshire Uniform Securities Act has been revised, based on the Uniform Securities Act of 2002, the most recent uniform securities act drafted by the National ...
Continue reading "Revised New Hampshire Securities Act Eliminates Renewal Fees and Final Sales Reports" »
Posted on Sep 30, 2015 By Jack Sousa
The United States Securities and Exchange Commission (SEC) installed its electronic disclosure system, EDGAR, beginning with a pilot program in 1984, and culminating in a full phase-in by 1996. EDGAR ...
Continue reading "Development of State Securities Online: NASAA's Electronic Filing Depository" »
Posted on Jul 18, 2014 By Duane Berlin
On July 3, 2014, the Securities and Exchange Commission (SEC) issued six new Compliance and Disclosure Interpretations (CDIs) regarding the determination and verification of accredited investor status ...
Continue reading "SEC's New Guidance on Accredited Investor Verification for General Solicitations" »
Posted on Jul 8, 2014 By Duane Berlin
In connection with the duties imposed on it by the Dodd-Frank Wall Street Reform and Consumer Protection Act, the SEC is set to come out with further revisions to the definition of "accredited ...
Continue reading "SEC to Revise "Accredited Investor" Definition" »
Posted on May 8, 2014 By Duane L. Berlin
Norm Champ, Director, SEC Division of Investment Management, recently gave a speech where he reminded investment advisers to review compliance policies annually as required by SEC rules. He said ...
Continue reading "SEC reminds investment advisers to review compliance policies annually" »
Posted on Feb 12, 2014 By Duane L. Berlin
On January 31, 2014, the Securities and Exchange Commission’s Division of Trading and Markets granted no-action relief to “M&A Brokers” that engage in certain activities in ...
Continue reading "SEC No Action Relief for MA Brokers" »
Posted on Oct 16, 2013 By Duane L. Berlin
Lev Berlin & Sousa issues a Memorandum from Lev Berlin & Sousa discussing and clarifying concepts of the widely discussed concept of "crowdfunding", in its current state, as compared ...
Continue reading "Memorandum on Crowdfunding v. Rule 506(c) Offerings" »