Rules and Regulations

  • SEC Proposes to Exempt Certain “Finders” from Broker-Dealer Registration Requirements


Industry Update

  • Dalia Blass Keynote Address at the Investment Company Institute 2020 Virtual Securities Law Developments Conference: Regulating with Our Eyes on the Future
  • Joint Statement on New FAQs for Form CRS.


Litigation

  • Blockchain Lending Company Settles SEC Charges Arising from Unregistered ICO
  • SEC Settles with Private Equity Fund Manager Regarding Alleged Fee Overcharges

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