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JOBS Act (39)
Your search for JOBS Act returned 39 results.
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4/12/2017 | Content area: Broker-Dealer
We are adopting technical amendments to conform several rules and forms to amendments made to the Securities Act of 1933 (‘‘Securities Act’’) and the ...
2/23/2017 | Content area: Broker-Dealer
Crowdfunding and the portals that bring buyers and sellers together online are gaining traction. Twenty-one funding portals have emerged to facilitate...
2/15/2017 | Content area: Investment Adviser
The list of your valuable recommendations and discussion topics goes on, and it seems Congress was so impressed with your efforts that in December it ...
2/15/2017 | Content area: Investment Adviser
If there are inefficiencies with blue sky compliance regimes, how can we adjust the current regime? For example, is there a means by which the North A...
12/28/2016 | Content area: Broker-Dealer
This document is being published to correct language in that rule to more precisely reflect the holder of record threshold established by Exchange Act...
12/22/2016 | Content area: Broker-Dealer
This document makes technical corrections to a rule that was published in the Federal Register on May 10, 2016 (81 FR 28689). The Commission adopted r...
5/03/2016 | Content area: Broker-Dealer
We are amending our rules in light of the statutory changes made by Title V and Title VI of the Jumpstart Our Business Startups Act (the “JOBS Act”) a...
12/22/2015 | Content area: Broker-Dealer
The SEC made a splash this fall when it cleared the way for equity crowdfunding for small investors (IA Watch, Oct. 30, 2015). For broker-dealers, the...
11/19/2015 | Content area: Investment Adviser
The SEC examined 10% of the registered investment adviser population in fiscal 2015, meeting its goal and equaling the mark set in 2014. While critics...
11/19/2015 | Content area: Broker-Dealer
While it is obviously too soon to assess the impact of these recent actions, the Commission staff has been closely following the effects of regulatory...
11/02/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
This is the SEC's final rule implementing the crowdfunding provisions of the JOBS Act. This allows retail investors to participate in crowdfunding opp...
11/02/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
Our proposal would modernize the rule and establish a new exemption to facilitate capital formation, including through offerings relying upon recently...
10/30/2015 | Content area: Broker-Dealer
Next year, you may see companies offering crowdfunding investment opportunities to retail investors after SEC commissioners Oct. 30 revised its rules....
10/28/2015 | Content area: Broker-Dealer
We have an obligation to implement them in a way that protects individual investors, promotes a general confidence in the new markets, and is workable...
5/06/2015 | Content area: Broker-Dealer
Maybe the third time will be the charm for FINRA’s ever controversial Comprehensive Automated Risk Data System. “We will not move ahead with the prese...
3/26/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
This JOBS Act-related final rule from the SEC in 2015 includes rules for eligibility requirements for Regulation A offerings.
1/01/2015 | Content area: Broker-Dealer
An issuer is not required to register a class of equity securities pursuant to section 12(g)(1) of the Act (15 U.S.C. 78l(g)(1)) if on the last day of...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
Users of Regulation D (§§230.500 et seq.) should note the following: (a) Regulation D relates to transactions exempted from the registration requirem...
1/01/2015 | Content area: Broker-Dealer
Any class of securities that would have been required to be registered pursuant to section 12(g)(1) of the Act (15 U.S.C. 78l(g)(1)) except for the fa...
1/01/2015 | Content area: Broker-Dealer
(a) Where in connection with a succession by merger, consolidation, exchange of securities, acquisition of assets or otherwise, securities of an issue...


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