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SEC Issues Concept Release to Overhaul Current Framework for Exempt Offerings

By Lee Ann Anderson & Jiwon Hahn on June 28, 2019

Posted in Client Alert, Exempt offerings, GT Alert, Investment Regulation, SEC, Securities, Securities and Exchange Commission

The SEC is seeking public comment (due by September 24, 2019) on possible ways to improve the framework for exempt offerings under the Securities Act of 1933 and related SEC…
Continue Reading SEC Issues Concept Release to Overhaul Current Framework for Exempt Offerings

SEC IM Guidance Update – Investment Company Business Continuity Plans

By Richard M. Cutshall on July 5, 2016

Posted in Financial Regulation, Investment Regulation, Risk Management, SEC

In connection with the Press Release announcing a Rule Proposal regarding adoption of written business continuity and transition plans by SEC-registered investment advisers (see our blog post on the topic),…
Continue Reading SEC IM Guidance Update – Investment Company Business Continuity Plans

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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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Nov. 2 EVENT | Selecting an EB-5 Investment Project

Join GT Shareholders Kate Kalmykov and William Mack, along with America EB-5 Visa, LLC’s CEO Marko Issever, for an informative discussion…

Webinar – Aug. 20: LIBOR Phaseout – Preparing for the Beginning of the End

On Thursday, Aug. 20 at 11 a.m. EST, join GT Shareholders Carl Fornaris and Oscar Stephens for a complimentary webinar…

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