Last week, the Securities and Exchange Commission announced that it will conduct more than 50 cybersecurity examinations to identify risks and ensure that broker-dealers and investment advisers are adequately protecting customer information.
The Jumpstart Our Business Startups Act (the “JOBS Act”), designed to stimulate IPO activity in the U.S. is celebrating its second anniversary this month at a time when U.S. IPO activity is at a high since 2000.
So far, our series on the Federal Reserve’s margin regulationshas focused on Regulation U, which imposes margin lending requirements on lenders. Now let’s turn our attention to Regulation X, which governs the securities credit activities of borrowers.
A large number of Washington State marijuana business license applicants have received the green light from the Liquor Control Board to finish building out their facilities, and cash from financiers is starting to hit the table as applicants rush to complete construction.
As we previously reported, the House of Representatives Financial Services Committee held a hearing on the effects of regulatory “red tape.”
I recently blogged about the pervasive nature of data breaches and the particular risks presented to this industry.
Flash Boys Litigation: High Frequency Traders, Brokers and Securities Exchanges Hit with Securities Suit
The Other Sure Finally Falls: China Issues “Administrative Measures for Verification and Registration On Overseas Investment Projects”
The National Development and Reform Commission (“NDRC”) has finally promulgated the long awaited “Administrative Measures for Verification and Registration of Overseas Investment Projects （《境外投资项目核准和备案管理办法》）” (“Order 9”).
Last week, the SEC issued three new interpretations related to the so-called “intrastate offering exemption,” which is a registration exemption that facilitates the financing of local business operations.