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Fifth Circuit Vacates the Private Fund Advisers Rules in their Entirety | JD Supra
JD Supra· 15 hours ago... for the Fifth Circuit (the “Fifth Circuit”) vacated the Securities and Exchange Commission’s (the “SEC”) final rule1 regarding the regulation of private fund advisers (the “Final Rule...the SEC relied on its antifraud rulemaking authority found in section 206(4) of the Investment Advisers Act of...
Relief for Non-U.S. Investment Advisers: SEC Clarifies the Extraterritorial Limits of the New...
The National Law Review· 3 hours agoOn August 23, 2023, the U.S. Securities and Exchange Commission (“SEC”) adopted its highly...
5th Circuit Strikes Down SEC's Private Fund Advisers Rule | National Law Journal
Law.com· 1 day agoA federal appeals court Wednesday struck down the U.S. Securities and Exchange Commission’s...
JD Supra: Proskauer's Hedge Start: When Is SEC Registration Necessary?
JD Supra· 6 hours agoSecutiries and Exchange Commission (SEC) under the Investment Advisers Act of 1940, as amended (Advisers Act), will be required. In general ...
What is FINRA and what does it do?
Bankrate via Yahoo Finance· 1 day agoBottom line FINRA is a key player in the financial regulatory space. Brokers and brokerage firms must be FINRA registered. It has a broad range of...
JD Supra: Maine enacts new money transmission law in line with the Money Transmission Modernization ...
JD Supra· 6 hours agoOn April 22, the Governor of Maine signed into law LD 2112 (the “Act”) which will codify a new law titled the “Maine Money Transmission Modernization Act
Camber Expands Its Retail Investor Reach
Digital Journal· 1 day agoBy providing its ~20 million registered users with direct access to corporate updates, feeds, analyses, charts & live presentations, and combining it with the ability to buy ...
SEC.gov | Remarks at the Harvard Law School Program on International Financial Systems, 2024...
U.S. Securities and Exchange Commission· 15 hours agoOn this date ninety years ago, President Franklin D. Roosevelt signed into law the Securities Exchange Act of 1934 (the “Exchange < ...
Should Finfluencers Be Regulated as Financial Advisors?
Barrons.com· 3 hours ago“This is a peculiar situation where the commission has to prove the fraud before it is able to...
He taught at MIT, worked at Morgan Stanley, and convinced Bill Ackman and Galaxy to back his $200...
Fortune via AOL· 10 hours agoBut other internal documents viewed by Fortune tell a different story. ...say the structure appears...
