Dodd-Frank Uncategorized
Recent CLE Materials – Minnesota Law
Litigation, Uncategorized David Jenson and I recently presented at the Minnesota CLE’s annual Business Law Institute. Our formal 2011 case and statutory summary can be accessed here and our PowerPoint can be accessed here. We’ve also included our summary from 2010 here. Among other things, they contain plenty of cautionary tales for lawyers and their business clients [...] Read more →
NYSE Adjusts Listing Qualifications to Accommodate JOBS Act
Public Companies and Securities, Uncategorized The ripple effect of the JOBS Act is beginning to show as the NYSE has proposed to adjust its listing qualification standards to reflect that emerging growth companies, or ECGs, ... Read more →
Comments Begin on JOBS Act
Broker-Dealer, Investment Advisers, Private Equity, Public Companies and Securities, Uncategorized High profile groups have begun to submit comments on the JOBS Act to try and steer rulemaking in the correct direction. The Federal Regulation of Securities Committee, Business... Read more →
Annual Report of SEC Office of Minority and Women Inclusion
Uncategorized The Office of Minority and Women Inclusion, or OMWI, of the U.S. Securities and Exchange Commission has submitted its first report pursuant to Section 342(e) of the Dodd-Frank... Read more →
SEC Appoints Investor Advisory Committee
Investment Advisers, Private Equity, Public Companies and Securities, Uncategorized The SEC has announced the formation of a new Investor Advisory Committee required by the Dodd-Frank Wall Street Reform and Consumer Protection Act. The 21-member committee... Read more →
Issuer Requirements for Crowdfunding Under the JOBS Act
Broker-Dealer, Public Companies and Securities, Uncategorized The JOBS Act takes the unprecedented step of permitting crowdfunding. The statute permits, subject to SEC rulemaking, the ability to offer and sell securities to numerous people... Read more →
SEC Issues Small Entity Compliance Guide on “Accredited Investor” Standard
Broker-Dealer, Private Equity, Public Companies and Securities, Uncategorized The SEC has issued a Small Entity Compliance Guide on the new “accredited investor” standard. Section 413(a) of the Dodd-Frank Act requires that the value of a... Read more →
OIG’s Follow-Up Review of Cost-Benefit Analyses in Selected SEC Dodd-Frank Act Rulemakings
Public Companies and Securities, Uncategorized In June 2011, the SEC Office of Inspector General released a Phase I report on the results of its initial assessment of the cost-benefit analyses conducted for six rulemakings.... Read more →
SEC Issues FAQ’s on Family Office Investment Adviser Exemption
Investment Advisers, Uncategorized The SEC staff has issued frequently asked questions on the SEC’s rule regarding exemption of family offices from registration under the Investment Adviser Act. The Dodd-Frank... Read more →
GAO Report Urges Additional Coordination between Agencies When Implementing Dodd-Frank Regulations
Uncategorized The Dodd-Frank Wall Street Reform and Consumer Protection Act requires or authorizes various federal financial regulators to issue hundreds of rules to implement reforms intended... Read more →