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Helikon did not qualify for an exception to Rule 105 when it purchased shares in the Offering
That’s why I agree with the ARRC that the Secured Overnight Financing Rate (SOFR), which is based on a nearly trillion-dollar market, is a preferable alternative ...
'Clock is ticking,' Chairman warns
Chairman talks market structure, gamification, disclosures, China, ESG, fee disclosures, cybersecurity, exams.
The benchmark that has underpinned vast numbers of financial instruments globally is coming to an end. But there is a lively debate around what will ...
As new technologies come along, we need to be sure we’re achieving our core public policy goals
A few weeks ago we reported on an apparent solution between Swiss authorities and the SEC that would open up the pipeline for new RIAs ...
Private equity fund advisers welcoming foreign investors who can potentially exercise certain control in buyout deals involving portfolio companies may well spur a filing
OFAC now maintains an online sanctions database that’s more robust than it used to be. There are also numerous commercial databases that offer politically exposed ...
The memo goes on to note that “a firm subject to SEC supervision cannot offer its services to customers if it is not willing to ...
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