I. Starting a Broker-Dealer-
Becoming an owner of a broker-dealer (BD) is a time-consuming and expensive endeavor. Although the United States Securities and Exchange Commission (SEC) requires BD registration pursuant to the...more
7/18/2023
/ Application Fees ,
Broker-Dealer ,
Commodities ,
Commodity Trading Advisors (CTAs) ,
CPOs ,
Ethics ,
Financial Industry Regulatory Authority (FINRA) ,
Hedge Funds ,
IARD ,
Investment Adviser ,
Licenses ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
Within the private equity fund arena, there are various well-recognized categories of private equity funds. Those funds include, among others: venture capital funds; leveraged buyout or merchant banking funds; hedge funds;...more
8/20/2019
/ Dodd-Frank ,
Hedge Funds ,
Investment Adviser ,
Investment Companies ,
Investment Funds ,
Investment Management ,
Investors ,
Popular ,
Private Equity ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
Dealing a blow to businesses with initial public offerings in their future or recent past, the U.S. Supreme Court unanimously held that state courts may exercise jurisdiction over class action cases filed solely under the...more
In a unanimous ruling that narrows the class of would-be whistleblowers under the Dodd-Frank Act, the U.S. Supreme Court held that the statute requires whistleblowers to first report potential securities violations to the SEC...more
2/23/2018
/ Anti-Retaliation Provisions ,
Digital Realty Trust Inc v Somers ,
Dodd-Frank ,
Employer Liability Issues ,
Hiring & Firing ,
Internal Reporting ,
Retaliation ,
Sarbanes-Oxley ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Whistleblower Protection Policies ,
Whistleblowers
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) has released its 2018 examination priorities, an annual report outlining the areas of the securities industry its examiners...more
In a ruling that severely hampers one of the SEC’s most powerful enforcement tools, the U.S. Supreme Court held on June 5 that the disgorgement authority of the U.S. Securities and Exchange Commission is subject to a...more
At Fox Rothschild LLP, we have a wealth of experience in creating and forming broker-dealers, registered investment advisers, commodity entities and various hedge funds. Over the years, our strategy has been to work with our...more
4/25/2017
/ Broker-Dealer ,
CFTC ,
Commodities ,
Conflicts of Interest ,
Cybersecurity ,
Employee Retirement Income Security Act (ERISA) ,
Financial Industry Regulatory Authority (FINRA) ,
Futures ,
Investment Adviser ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC)