Header graphic for print
The BD/IA Regulator Providing securities regulatory, enforcement and litigation trends for broker-dealers, investment advisers and investment funds

Tag Archives: JOBS Act

The Growth Capital Summit

Posted in Events

This year’s SEC small business capital forum in Washington, D.C. will address the “most sweeping changes to the emerging growth capital market in 80 years.” For our readers in the area, please join Morrison & Foerster on November 19th for an afternoon of pre-forum briefings on the state of legislation, regulation and policy implementation impacting small business… Read More

Updated JOBS Act Book

Posted in Uncategorized

Download a free copy of our recently updated JOBS Act book. The updated book discusses emerging practices in IPOs by emerging growth companies, the SEC’s final Rule 506 rules and investor verification and other developments. You also may email us to obtain hard copies.  Send an email to Harrison Lawrence at hlawrence@mofo.com.

Division of Investment Management Lists 2013 Accomplishments; Sets 2014 Agenda

Posted in Fund Regulation

The SEC’s Division of Investment Management summarized its activities in 2013, highlighting its intensified rulemaking program, efforts to identify new and emerging risks and its disclosure initiatives. The Division also took the opportunity to discuss its agenda for 2014. In the March 2014 edition of its Information Update, the Division describes its rulemaking accomplishments in… Read More

West LegalEdCenter Webcast – FINRA Actions and the Due Diligence Obligations of Broker-Dealers in Private Placements

Posted in Broker-Dealer Regulation, Enforcement, Events, FINRA Enforcement, SEC Enforcement

Morrison & Foerster partners, Ze’-ev D. Eiger and Daniel A. Nathan, presented West LegalEdCenter’s Webcast, “FINRA Actions and the Due Diligence Obligations of Broker-Dealers in Private Placements,” on October 29, 2013 at 1:00 p.m. EST. This one hour session focused on the due diligence obligations of broker-dealers in private placements amidst increased scrutiny from FINRA,… Read More