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SEC staff issues guidance on "spring-loaded" compensation. NY Fed launches Central Banking Innovation Center. NFA proposes amendments to financial reporting requirements for SEC-registered SDs.

Shortly after the Securities and Exchange Commission adopted the final rule relaxing the prohibition against general solicitation in connection with offerings made pursuant to new Rule 506(c) and Rule 144A, we provided our perspective on various interpretative questions that might arise as issuers and financial intermediaries began to avail themselves of the new offering exemption and the ability to communicate more broadly.

If you're looking to raise capital for your company or fund, this new tool from the SEC can help you figure out which rules may apply and what your options are for raising money.

Market leaders in technology, life sciences, financial services and a wide variety of other industries turn to WilmerHale for legal advice and business advantage.

Duff & Phelps recommends funding IARD/CRD accounts a few days prior to the deadline.

On September 19, the SEC adopted new rules and amendments under Title VII of the Dodd-Frank Act establishing recordkeeping and reporting requirements...

The SEC approved amendments to FINRA's customer and industry arbitration rules concerning arbitration honorariums.

Through FINRA Regulatory Notice 17-30, the Securities and Exchange Commission (SEC) approved certain rule changes. These changes will:

On September 18, the SEC unanimously adopted permanent registration rules for municipal advisors as required by the Dodd-Frank Act.

The final rule will become effective 30 days after publication in the Federal Register.

SEC Division of Corporation Finance Associate Director James M. Daly will retire at the end of September.

The Commission announced that its annual forum on Small Business Capital Formation will be held on Thursday, November 21st.

Subject to certain conditions, the SEC Division of Corporation Finance granted an exemption from requirements under Securities Exchange Act Rule 14e-5 to an investment company.

Scott Gluck published "SEC Lifts Ban on General Solicitations – Then Proposes Regulations" in the September 2013 edition of Middle Market Growth, an Association of Corporate Growth publication.

On February 27, the Securities Exchange Commission (SEC) modified the submission deadlines for registered investment companies filing non-public monthly reports on Form N-PORT. Form N-PORT

The SEC outlined how it intends to adapt to evolving financial markets and technologies in a new report, Strategic Plan for 2018-2022.

The SEC Division of Corporation Finance provided guidance to issuers of ABS regarding certain programming changes to the EDGAR system that have been made to support recently adopted revisions...