Articles Posted in Copies of Proposed or Actual Rules

Crowdfunding: The Securities and Exchange Commission recently voted unanimously to propose rules under the JOBS Act to permit companies to offer and sell securities through crowdfunding. Crowdfunding describes an evolving method of raising capital that has been used outside of the securities arena to raise funds through the Internet for a variety of projects ranging…

SEC Approves Registration Rules for Municipal Advisors The Securities and Exchange Commission recently voted to adopt rules establishing a permanent registration regime for municipal advisors as required by the Dodd-Frank Act. The rule is currently slated to become effective 60 days after publication in the Federal Register. The Final Rule: The Commission has adopted a…

Rule 506 of Regulation D Recent Amendments Regarding General Solicitation and General Advertising – South Florida Private Placement Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney: The Securities and Exchange Commission (the “SEC”), on July 10, 2913 by a vote of 4-1, adopted amendments to Rule 506 of Regulation D under the Securities Act of…

Adoption of Final Rule for Broker-Dealers Engaging in a Retail Forex Business The Securities and Exchange Commission (Commission) recently announced the adoption of a final rule (Rule 15b12-1) to permit a registered broker-dealer to engage in a retail forex business, provided that the broker-dealer complies with the Securities Exchange Act of 1934, the rules and…

SEC Proposes Rules to Implement JOBS Act Provision About General Solicitation and Advertising in Securities Offerings August, 2012: Text of Chairman’s statement The Securities and Exchange Commission recently proposed rules to eliminate the prohibition against general solicitation and general advertising in certain securities offerings. Under the proposed rules, which are mandated by the Jumpstart Our…