Latest Dodd-Frank Posts
House Passes JOBS and Investor Confidence Act of 2018
Broker-Dealer, Investment Advisers, M&A, Public Companies and Securities The United States House of Representatives passed the bipartisan JOBS and Investor Confidence Act of 2018, which is often referred to as JOBS Act 3.0. The bill is comprised of 32 individual pieces of legislation that have passed the Financial Services Committee or the House this Congress with broad bipartisan support. You can find a […] Read more →
SEC Charges Hedge Fund with 13D Violation
Investment Advisers, Litigation, Private Equity, Public Companies and Securities The SEC charged a hedge fund sponsor that manages private funds and separately managed accounts focused on global distressed, special situations, and opportunistic investing with... Read more →
Jobs Act 3.0
Public Companies and Securities, Uncategorized This statement from Congresswoman Maxine Waters (D-CA), Ranking Member of the House Committee on Financial Services, confirms the House continues to work on JOBS Act 3.0. The... Read more →
SEC Targets Perqs in Another Enforcement Action
Employment, Executive Compensation, Litigation, Public Companies and Securities The SEC has targeted disclosure of executive perquisites in another settled enforcement action. According to the SEC, the issuer did not follow the Commission’s standard... Read more →