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SEC Compliance Consultants, Inc. (SEC³)

Regulatory Roundup for August 2024

SEC Compliance Consultants, Inc. (SEC³) on

More Flack on WhatsApp, Hypothetical Performance SmackDown, A Timely Warning on the Pay-to-Play Rule, and Updates to Qualifying Venture Capital Fund Exemption - This month's big news from the SEC was more piggy-bank breaking...more

Stikeman Elliott LLP

Ten LPs + 85 Investors Over Four Years = Unlicensed Trading Allegation from the OSC

Stikeman Elliott LLP on

One of the grey areas for real estate development, private equity and venture capital firms (“sponsors”) that serially launch new funds is how frequently a sponsor can come to market with a new fund offering without hitting...more

Goodwin

Exempt Reporting Advisers Faced Significantly More SEC Enforcements in 2022

Goodwin on

The Securities and Exchange Commission (SEC) brought an unusually high number of enforcement actions against exempt reporting advisers in 2022 — that appears to be more than the prior three years combined and a record number...more

Brownstein Hyatt Farber Schreck

What Demo Day Sponsors and Presenting Companies Should Know About Rule 148

Brownstein Hyatt Farber Schreck on

The SEC recently adopted Rule 148 to address whether companies that present at “demo days” held by angel investor groups, incubators or accelerators are participating in a “general solicitation” for investments under...more

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