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Articles by Steven M. Felsenstein
SEC Amends the ‘Accredited Investor’ Definition
On Aug. 26, 2020, the Securities and Exchange Commission adopted amendments to its Regulation D to cautiously expand the definition of “accredited investor” in the Commission’s rules. The change will give additional categories of investors access to certain private offerings of securities that rely upon Regulation D.1 The Commission also made changes to allow some other entities to qualify as accredited investors. The changes become effective 60 days after publication in the Federal Register.
SEC Amends the ‘Accredited Investor’ Definition
Monday, August 31, 2020 On Aug. 26, 2020, the Securities and Exchange Commission adopted amendments to its Regulation D to cautiously expand the definition of “accredited investor” in the Commission’s rules. The change will give additional categories of investors access to certain private offerings of securities that rely upon Regulation D.1 The Commission also made changes to allow some other entities to qualify as accredited investors.
SEC Amends the ‘Accredited Investor’ Definition
On Aug. 26, 2020, the Securities and Exchange Commission adopted amendments to its Regulation D to cautiously expand the definition of “accredited investor” in the Commission’s rules. The change will give additional categories of investors access to certain private offerings of securities that rely upon Regulation D.1 The Commission also made changes to allow some other entities to qualify as accredited investors. The changes become effective 60 days after publication in the Federal Register.
FINRA Releases Guidance on Retail Communications Concerning Private Placement Offerings
Monday, July 13, 2020 On July 1, 2020, FINRA issued guidance on the application of FINRA Rule 2210, Communications with the Public, when creating, reviewing, approving, distributing, or using retail communications concerning certain private placement offerings. The guidance is intended to address the subset of private offerings that are sold directly by FINRA member firms to individuals and filed with FINRA pursuant to FINRA Rules 5122 and 5123.
Cryptocurrency Presents Puzzle For Unclaimed Property Laws
Law360 (August 27, 2019, 1:49 PM EDT) -- As the use and acceptance of blockchain technology continue to grow, state legislators and unclaimed property administrators are starting to recognize and capitalize on the potential revenue generation associated with the widespread use — and misuse and abandonment — of virtual currencies. On June 13, New York became the most recent state to propose amendments to its abandoned property law providing for escheatment of unclaimed virtual currencies.
Qualifying Assets Under Investment Company Act Section 3(c)(5)(C) Mortgage Exemption
You are responsible for reading, understanding and agreeing to the National Law Review's (NLR’s) and the National Law Forum LLC's Terms of Use and Privacy Policy before using the National Law Review website. The National Law Review is a free to use, no-log in database of legal and business articles. The content and links on www.NatLawReview.com are intended for general information purposes only.
Amendments to ‘Volcker Rule’ to Exclude Certain ‘Small’ Banks From Key Prohibitions
Monday, August 5, 2019 In connection with the U.S. financial crisis 10 years ago, legislation was adopted to enhance the safety and soundness of the commercial banking system in the United States.
FINRA Wants to Hear From Firms BEFORE They Go Crypto
You are responsible for reading, understanding and agreeing to the National Law Review's (NLR’s) and the National Law Forum LLC's Terms of Use and Privacy Policy before using the National Law Review website. The National Law Review is a free to use, no-log in database of legal and business articles. The content and links on www.NatLawReview.com are intended for general information purposes only.
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