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SEC Proposes Exemption from Registration for Finders

By William Mack & Dale Rose Goldstein on October 9, 2020
Posted in banking, Banks, Brokers, Compliance, Corporate Governance, Featured, Financial Regulation, Financial Services Litigation, GT Alert, Regulatory Compliance, SEC, Securities, Securities and Exchange Commission

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

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SEC Issues No-Action Letter Facilitating the Secondary Trading of Digital Assets

By Barbara A. Jones, William Mack, Jocelyn M. Coney & Greenberg Traurig on October 8, 2020
Posted in banking, Banks, Blockchain, Brokers, Compliance, convertible virtual currency, cryptocurrency, Cybersecurity, Featured, Financial Regulation, Financial Services Litigation, FINRA, GT Alert, Litigation, SEC, Securities, Securities and Exchange Commission, Technology, Virtual Currency

On Sept. 25, 2020, the SEC issued a No-Action Letter to FINRA, in response to a previously issued Joint Statement by the SEC and FINRA. This No-Action Letter detailed how…
Continue Reading SEC Issues No-Action Letter Facilitating the Secondary Trading of Digital Assets

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Commodity Futures Trading Commission Issues Time-Limited Relief from CFTC Rule 1.56

By Jeffry M. Henderson & Douglas E. Arend on October 1, 2020
Posted in banking, Banks, CFTC, Featured, Financial Regulation, Financial Services Litigation, GT Alert, Investment Regulation, Litigation, Regulatory Compliance, Securities

The Commodity Futures Trading Commission (CFTC) issued Letter No. 20-28 on Sept. 15, 2020. Letter 20-28 addresses issues of relevance both for futures commission merchants (FCMs) as well as asset

…
Continue Reading Commodity Futures Trading Commission Issues Time-Limited Relief from CFTC Rule 1.56

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SEC Proposes Rule Changes to Mutual Fund and Exchange Traded Fund Disclosures

By Arthur Don on August 27, 2020
Posted in banking, Banks, Capital Markets, Compliance, Exchange-Traded Funds (ETFs), Featured, Financial Regulation, Financial Services Litigation, GT Alert, Investment Regulation, Regulatory Compliance, SEC, U.S. Financial Market

On Aug. 5, 2020, the SEC proposed modifications to current rules and forms that would significantly change the disclosures required of mutual funds and exchange traded funds (ETFs) that report

…
Continue Reading SEC Proposes Rule Changes to Mutual Fund and Exchange Traded Fund Disclosures

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SBA Extends PPP Repayment Date for Safe Harbor to May 18

By Trevor J. Chaplick, Jennifer S. Zucker, Peter H. Lieberman, Lee Ann Anderson, Barbara A. Jones & Greenberg Traurig on May 14, 2020
Posted in coronavirus, GT Alert

This evening the SBA issued new FAQ 47 extending the repayment date for the safe harbor to May 18, 2020. View the full FAQs here.

For more information and…
Continue Reading SBA Extends PPP Repayment Date for Safe Harbor to May 18

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SBA Issues FAQ Guidance on PPP Good Faith Necessity Certification

By Trevor J. Chaplick, Jennifer S. Zucker, Peter H. Lieberman, Lee Ann Anderson, Barbara A. Jones & Greenberg Traurig on May 13, 2020
Posted in coronavirus, GT Alert

This morning the SBA issued an important new FAQ 46 on how it intends to review the good faith necessity certification required for PPP loans. The safe harbor for return…
Continue Reading SBA Issues FAQ Guidance on PPP Good Faith Necessity Certification

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Greenberg Traurig’s Financial Regulatory and Compliance Group brings together attorneys from various offices and practice areas to assist financial services firms of all types and sizes, as well as vendors to those firms, as they face regulatory, legislative, supervision, examination, licensing, compliance, and governance matters

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Greenberg Traurig, LLP has more than 2400 attorneys in 43 locations in the United States, Europe, Latin America, Asia, and the Middle East. The firm, often recognized for its focus on philanthropic giving, innovation, diversity, and pro bono, reported gross revenue of over $2 Billion for FY 2021. The firm is consistently among the top firms on the Am Law 100, Am Law Global 100, NLJ 250, and Law360 (US) 400. On the debut 2022 Law360 Pulse Leaderboard, it is a Top 15 firm. Greenberg Traurig is Mansfield Rule 4.0 Certified Plus by The Diversity Lab and net carbon neutral with respect to its office energy usage. Web: www.gtlaw.com.

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