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JOBS Act (18)
Your search for JOBS Act returned 18 results.
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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...
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...
11/02/2015 | 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...
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: 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...
12/22/2014 | Content area: Investment Adviser | Broker-Dealer | Private Fund
The SEC is proposing to amend rules to reflect the new, higher registration, termination of registration and suspension of reporting thresholds under ...
3/24/2014 | Content area: Investment Adviser
We told you last week that OCIE plans a sweep exam to gauge firms' ability to prevent and deal with cyber threats (IA Watch, March 17, 2014). OCIE's J...
12/23/2013 | Content area: Investment Adviser
One way a proposal passed last week by the SEC could affect investment advisers is retail clients may find new opportunities to invest in unregistered...
10/28/2013 | Content area: Investment Adviser
The Commission today voted unanimously to propose a new rule derived from the JOBS Act that would permit "crowdfunding." One commissioner called the p...
4/22/2013 | Content area: Investment Adviser | Broker-Dealer
The Securities Industry Continuing Education Program has issued the Spring 2013 Firm Element Advisory. Additions and updates include FINRA's big revis...
4/08/2013 | Content area: Investment Adviser
Two recent “no-action” letters from the SEC bless advisers that use online portals to unite accredited investors with startup funds and business oppor...
12/17/2012 | Content area: Investment Adviser
There has been a big increase this year in Internet domain names that contain the word "crowdfunding," according to an analysis by state and Canadian ...
10/22/2012 | Content area: Investment Adviser
Its views aren't binding on the SEC but the agency's Investor Advisory Committee agreed to send recommendations to commissioners to toughen investor p...
10/15/2012 | Content area: Investment Adviser
Depending on who you believe, the SEC's proposal to permit advertisements for private fund offerings will either result in market chaos that harms inv...
8/27/2012 | Content area: Investment Adviser
Hours before the SEC was to take up a proposal to loosen restrictions on the advertising of private offerings, NASAA repeated its opposition to the id...
6/18/2012 | Content area: Investment Adviser
Congress expects that the SEC will produce a JOBS Act inspired rule by July 4th relaxing general solicitation provisions. Only a couple of dozen indus...


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