Legal Developments in Securities Law

January 26, 2016

Dodd-Frank Update: Final Rule on Accredited Investor Standard This week, the SEC released a final rule on the net worth standard for accredited investors. The accredited investor standards, in Rules 215 and 501 under the Securities Act of 1933, are important to determine whether certain exemptions from registration apply under the securities laws. This is … Continue reading “Legal Developments in Securities Law”

Legal Developments in Securities Law

January 26, 2016

A Look Back at 2011: The Biggest Securities Law News of the Year 2011 was a big year in securities law – from the Galleon Group insider trading convictions to the beginning of the SEC’s whistleblower program under Dodd-Frank. Here, we’ll review the top five securities law stories from 2011. 5. Judge Rakoff Challenges Settlements … Continue reading “Legal Developments in Securities Law”

Legal Developments in Securities Law

January 26, 2016

Investors and Investment Advisers Beware: The Use of Social Media in Financial Services Recently, the SEC charged an investment adviser for violations of the securities laws based on offerings on LinkedIn. Social media has obviously taken on a greater role in everyday life in recent years, with many businesses utilizing outlets like Facebook, Twitter, LinkedIn, … Continue reading “Legal Developments in Securities Law”

SEC Steps Up Its Policing of Accounting Fraud

January 26, 2016

The Wall Street Journal recently reported that the Securities and Exchange Commission has stepped up its policing of accounting fraud. “The SEC’s first year-over-year increase in such enforcement actions since 2007, comes as the agency returns its focus to alleged financial-reporting and disclosure problems that might have gone unpunished as crisis-era misconduct, such as selling … Continue reading “SEC Steps Up Its Policing of Accounting Fraud”

FINRA Wants Barred Brokers Out of Insurance Too

January 26, 2016

FINRA is trying to keep banned registered securities representatives, or brokers, from using a loophole that lets them continue selling financial products to members of the public as authorized insurance agents, The Wall Street Journal reports. FINRA – the U.S. securities industry’s self-regulatory agency – will “begin providing to state insurance regulators a monthly report … Continue reading “FINRA Wants Barred Brokers Out of Insurance Too”

Page 4 of 8« First...23456...Last »