Posts from December 2014.

The U.S. Securities and Exchange Commission “SEC” recently announced that Karol L.K. Pollock is now the new leader of the examination program in the Los Angeles Regional Office. Ms. Pollock has worked in the Los Angeles office for 10 years,...

Private funds commonly use third parties, often known as finders, to raise capital from potential investors. When entering into arrangements with finders, private fund managers should carefully consider whether the finder is registered as a broker-dealer. Except in very...

Recently, the U.S. Securities and Exchange Commission (SEC) held a meeting to discuss recommendations from its Investor Advisory Committee (IAC) regarding broadening the definition of an “accredited investor” for natural persons. Under the Dodd-Frank Act, the SEC must review...

In its newly released financial report for fiscal 2014, the SEC has stated that they will be evaluating recommendations from a staff report to consider a uniform fiduciary standard for investment advisors and broker-dealers as well as finding ways to...

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