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Private Funds › Securities Regulation › Financial Industry Regulatory Authority (FINRA)

SEC Compliance Consultants, Inc. (SEC³)

Compliance Roundup for April 5, 2024

SEC Compliance Consultants, Inc. (SEC³) on

Compliance Update for the week Ending April 5, 2024 - For our clients and compliance colleagues, this weekly update will give you a quick look at the latest regulatory developments. Enjoy!...more

Morrison & Foerster LLP

FINRA Proposes to Modify its Communications with the Public Rule to Allow More Parties to Receive Projections and Targeted Returns

Morrison & Foerster LLP on

In November of 2023, FINRA made an initial rule filing with the Securities and Exchange Commission (SEC) pursuant to Exchange Act Rule 19b-4, seeking to amend FINRA Rule 2210 – Communications with the Public (the...more

Sullivan & Worcester

SEC Amends Definitions of "Accredited Investor" and "Qualified Institutional Buyer"

Sullivan & Worcester on

The Securities and Exchange Commission has adopted amendments to its current rules under the Securities Act of 1933 relating to the definitions of an "accredited investor" and a "qualified institutional buyer." The amendments...more

Sullivan & Worcester

SEC Proposes Amendments to Definitions of “Accredited Investor” and “Qualified Institutional Buyer”

Sullivan & Worcester on

The U.S. Securities and Exchange Commission (the "SEC") proposed on December 18, 2019 amendments to, among other things, its current rules under the Securities Act of 1933 (the "Securities Act") relating to the definitions of...more

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