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Category Archives: Exemptions

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SEC Has Offered Help for Sandy’s Victims

Posted in Exemptions

The SEC granted filing extensions and other regulatory relief for the entities effected by Hurricane Sandy. Previously, the SEC extended several deadlines, and allowed certain exemptive forms to be used.  However, one of the more important offers of assistance is the SEC staff is willing to view matters on a case by case basis if additional assistance is necessary. … Continue Reading


Posted in Broker-Dealer Regulation, Compliance and Supervision, Dodd-Frank, Exemptions, Hedge and Private Equity Funds, Investment Adviser Regulation, SEC Enforcement

Recently, the SEC’s newest commissioner, Commissioner Daniel Gallagher, discussed certain of his beliefs, including, among other things, that the SEC should use its exemptive authority derived from the Investment Advisers Act of 1940, to provide some relief for hedge fund and private equity investment mangers from the registration provisions of said Act.  Gallagher believes that the full registration regime should not… Continue Reading