Compliance

SEC 2024 Broker-Dealer Examination Priorities
Compliance Enforcement Investors

SEC Expands Trading Bans for Staff

The SEC has recently announced a significant overhaul of its ethics rules. These changes, designed to fortify and update the SEC’s ethics compliance framework, expands the prohibited securities transactions for the Staff and their families Strengthening the SEC’s Ethical Framework At the heart of this initiative is the collaborative effort […]

Securities and Exchange Commission
Compliance

The Securities and Exchange Commission

If you are involved in the financial industry, understanding the role and functions of the Securities and Exchange Commission (SEC) is paramount. Established to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation, the SEC plays a pivotal role in the financial landscape. Let’s delve deeper into […]

Securities and Exchange Commission
Compliance Corp Finance

SEC Adopts Rules to Enhance Investor Protections Relating to SPACs, Shell Companies, and Projections

Washington D.C., Jan. 24, 2024 New Rules for Investor Protections The Securities and Exchange Commission today adopted new rules and amendments to enhance disclosures and provide additional investor protection in initial public offerings (IPOs) by special purpose acquisition companies (SPACs) and in subsequent business combination transactions between SPACs and target […]

New accredited investor definition
Compliance Corp Finance

Bad Actor Rule of Rule 506

Rule 506 Exemption Rule 506 of Regulation D of the Securities Act of 1933 is an exemption from the registration requirements of the Securities Act for certain private securities offerings. This rule allows issuers to raise an unlimited amount of capital from an unlimited number of accredited investors, and up […]