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Category Archives: Podcast

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ThinkingCapMarkets Podcast: Bad Actor Disqualification Provisions

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There are very similar disqualification provisions in Regulation A, Regulation CF (Crowdfunding) and Regulation D. These rules make these exemptions from registration unavailable for an offering if the issuer or certain “covered persons” is or has been subject to a relevant criminal conviction, regulatory or court order or other disqualifying event.  If a covered person… Read More

ThinkingCapMarkets Podcast – Replacing Familiar Benchmarks: Preparations to Phase Out the IBORs

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Long a mainstay of the financial world, the floating “IBOR” rates, based on the rates of actual or purported interbank offered loans, are now being swept slowly into the dustbin of history. The quantity, in both number and size, of existing financial products based on these floating rates is enormous, with the outstanding principal amount… Read More

ThinkingCapMarkets Podcast: FINRA Communication Rules

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All communications by FINRA member firms are subject to the communications rule, which has approval and review, recordkeeping, filing and content standards.  The rule also includes exceptions from many of its requirements.  FINRA recently updated its advice relating to the use of social media by member firms, as FINRA continues to react to the rapidly… Read More