Securities and Exchange Commission

Natural Disasters are getting worse. In the wake of disasters such as Hurricane Laura, Hurricane Sally, and the wildfires that recently ravaged the western region of the United States, millions
Continue Reading Natural Disasters are Getting Worse: Protecting Yourself from Investment and Donation Scams Seeking to Exploit Natural Disaster Relief

On Oct. 7, 2020, the U.S. Securities and Exchange Commission (SEC) held an open meeting and issued a notice proposing a conditional exemption from securities broker-dealer registration under Section 15


Continue Reading SEC Proposes Exemption from Registration for Finders


Continue Reading CFTC Proposes Expanding Exemption for Non-U.S. Commodity Pool Operators

On Jan. 30, 2020, the Securities and Exchange Commission (SEC) issued (i) guidance regarding the disclosure of key performance indicators (KPIs) and metrics in Management’s Discussion and Analysis, or MD&A
Continue Reading SEC Issues MD&A Disclosure Guidance and Proposes Amendments to Modernize and Enhance MD&A Financial Disclosures

The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) released its annual list of 2020 Examination Priorities on Jan. 7, 2020. Many of
Continue Reading 2020 SEC Exam Priorities for Securities Industry Registrants

Section 15 (a)(1) of the Securities Exchange Act of 1934 (Exchange Act) generally prohibits a broker or dealer from effecting “any transactions in, or to induce or attempt to induce
Continue Reading SEC Proposes Conditional Exemption for Certain Activities of Registered Municipal Advisors