Securities Exchange Commission

American Association of Private Lenders and Geraci LLP’s comments cited in SEC’s final ruling to amend “Accredited Investor” definition

By |2021-06-08T12:33:07-05:00August 28th, 2020|Advocacy, Featured, News|0 Comments

More than a year after proposing an expansion to its definition of “accredited investor,” the Securities and Exchange Commission (SEC) has published its final ruling on the matter. This represents the first meaningful modification of the definition since its inception in 1982, when it was created in an effort to govern the sale of unregistered [...]

By |2021-06-08T12:33:07-05:00August 28th, 2020|Advocacy, Featured, News|0 Comments

Securities and Exchange Commission Moving Forward on Standard Fiduciary Rule

By |2018-08-07T02:38:23-05:00November 15th, 2017|Advocacy, Market Trends|0 Comments

Harmonizing their rule with DOL is a priority. After Republican lawmakers pushed hard for a postponement of implementation, the U.S. Department of Labor (DOL) proposed a delay to the applicability of certain fiduciary rule conditions until July 1, 2019, namely, the Best Interest Contract exemption, Principal Transactions exemption and PTE 84-24 (insurance and annuities). The [...]

By |2018-08-07T02:38:23-05:00November 15th, 2017|Advocacy, Market Trends|0 Comments

Intrastate Crowdfunding Rules Get Green Light From SEC

By |2018-08-07T02:39:20-05:00November 3rd, 2016|Editorial, Market Trends, News|0 Comments

This past week, the Securities and Exchange Commission (SEC) made it easier for businesses to raise capital through crowdfunding efforts. The SEC adopted new and amended crowdfunding rules to allow companies to raise capital from small offerings more quickly and from out-of-state investors. SEC Chairwoman Mary Jo White made the announcement of new Rule 147A, [...]

By |2018-08-07T02:39:20-05:00November 3rd, 2016|Editorial, Market Trends, News|0 Comments

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