With the massive explosion in interest in the use of non-fungible tokens (“NFTs”), purveyors are always looking for new avenues and areas to utilize NFTs. NFTs are being integrated into
Continue Reading Know Your NFT Before You Sell It or Expect to Send the Money Back
The United States Securities and Exchange Commission issued a rule proposal that would enact new climate-related disclosure requirements on public companies, requiring disclosure of greenhouse gas emissions and the business
Continue Reading The SEC, Climate Change, and Disclosure: A Brave New World
We wanted everyone to see the recent alert published by Kimberly L. Kwan and Joshua Ashby, concerning the SEC and Crowdfunding Portals. SEC Expects Crowdfunding Portals to be ‘Gatekeepers,’ Not
Continue Reading SEC Expects Crowdfunding Portals to be ‘Gatekeepers,’ Not Ignore Red Flags
On February 4, 2022, the United States Treasury Department released a report that indicated non-fungible tokens (“NFTs”), currently, one of the trendiest cryptocurrency structures, may become a new avenue for
Continue Reading NFTs: A New Mechanism for Money Laundering… Uh Oh!
The U.S. Securities and Exchange Commission (“SEC” and “Commission”) proposed new rules to increase hedge fund and private equity fund disclosures to increase oversight of the industry and to monitor
Continue Reading SEC Proposes More Stringent Rules for Hedge and Private Equity Funds
Please see the attached link for our SEC investigation and litigation discussion webinar and please join us for our next webinar on securities litigation:
https://securitiescompliancesentinel.foxrothschild.com/securities-litigation/securities-sit-down-sec-investigations-and-litigation/
Continue Reading Fox Rothschild’s Securities Webinar Series Kicks Off with SEC Discussion
The SEC adjusted the definition of “qualified clients,” becoming effective on August 16, 2021, pursuant to the Dodd-Frank Act of 2010, requiring such an adjustment for inflation every five years.
Continue Reading New Limits for Qualified Clients
I never find it boring to review the investment adviser exemptions for private fund managers. Apparently, I am not the only one since this is a question we frequently field.
Continue Reading Fund Adviser Exemptions Primer– Redux
On December 17, 2020, SEC created the Division of Examinations by renaming the now defunct, Office of Compliance Inspections and Examinations, making it the SEC’s 6th Division joining Enforcement, Corporation
Continue Reading New SEC Division Undertakes 2021 Examination Priorities
Fox Rothschild’s Securities Industry Group is pleased to announce its publication of an interactive Survey of State Blue Sky Filing Requirements. SI Group members, A. Binford Minter and Jennifer M.
Continue Reading Fox Rothschild’s Securities Industry Group’s New Interactive Survey of State Blue Sky Filing Requirements Facilitates Rule 506, Regulation A+ Securities Compliance