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Securities Compliance Sentinel

Analysis of cutting-edge securities industry issues

The Dealerization of America by the SEC

By Fox Rothschild on February 8, 2024
licensing

On Tuesday, February 6, 2024, the United States Securities and Exchange Commission promulgated final rules relating to changing the definition of dealer pursuant to the Securities Exchange Act of 1934. …

Continue Reading The Dealerization of America by the SEC
Posted in Broker-Dealer Registration, Broker-Dealer Regulation

Updated 2023 Interactive Survey of State ‘Blue Sky’ Filing Requirements Facilitates Compliance

By Fox Rothschild on July 21, 2023

We wanted everyone to know that access is now available to our updated Blue Sky survey. Ernest E. Badway – Interactive Survey of State ‘Blue Sky’ Filing Requirements Facilitates Compliance…

Continue Reading Updated 2023 Interactive Survey of State ‘Blue Sky’ Filing Requirements Facilitates Compliance
Posted in Blue Sky, State Enforcement

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Why Does the SEC Whine so Much? The Sec’s Attack on Lawyers and a Way out of This Mess

By Fox Rothschild on July 20, 2023
SEC Pix (2)

Hope you enjoy my article on the SEC’s dysfunctional relationship with defense lawyers. Ernest E. Badway – Why Does the SEC Whine so Much? The Sec’s Attack on Lawyers and…

Continue Reading Why Does the SEC Whine so Much? The Sec’s Attack on Lawyers and a Way out of This Mess
Posted in Law Firms and Lawyers, SEC Enforcement

Updated 2023–National Survey on Restrictive Covenants

By Fox Rothschild on July 19, 2023
Core Values

We wanted to alert you to our updated 2023 National Survey on Restrictive Covenants. Ernest E. Badway – National Survey on Restrictive Covenants – Updated 2023 (foxrothschild.com)

Continue Reading Updated 2023–National Survey on Restrictive Covenants
Posted in Raiding/Moving Firms, Registered Representatives

The ‘New’ M&A Broker-Dealer Exemption Alert

By Fox Rothschild on July 18, 2023
Government Regulation

Please take a look at our new alert on the recently enacted M&A BD Exemption. Ernest E. Badway – The ‘New’ M&A Broker-Dealer Exemption (foxrothschild.com).

Continue Reading The ‘New’ M&A Broker-Dealer Exemption Alert
Posted in Broker-Dealer Registration, Broker-Dealer Regulation, Capital Formation, Corporate Financing, Finders, General Securities Law News & Updates, Mergers and Acquisitions

Updated 2023– Who Does What: Broker Dealers | Registered Investment Advisers | Commodities/Futures Entities

By Fox Rothschild on July 18, 2023
licensing

Here is our updated “Who Does What…. ” publication. Ernest E. Badway – Who Does What: Broker Dealers | Registered Investment Advisers | Commodities/Futures Entities – Updated 2023 (foxrothschild.com)

… Continue Reading Updated 2023– Who Does What: Broker Dealers | Registered Investment Advisers | Commodities/Futures Entities
Posted in Broker-Dealer Registration, Broker-Dealer Regulation, CFTC Compliance, Finders, FINRA Compliance, FINRA CRD, General Securities Law News & Updates, Investment Adviser Regulation, NFA Enforcement, Registered Representatives, Research Analysts, Securities Associations, Securities Exchanges
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THE ROLE OF NFTS IN THE METAVERSE:LITIGATING NFT DISPUTES – PART II

By Fox Rothschild on June 7, 2023

In our first part, we discussed the technological foundations of NFTs. Next, we turn to the legal issues, most certainly to be raised in any NFT litigation.
NFT’s Intellectual Property …

Continue Reading THE ROLE OF NFTS IN THE METAVERSE:LITIGATING NFT DISPUTES – PART II
Posted in General Securities Law News & Updates
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THE ROLE OF NFTS IN THE METAVERSE:LITIGATING NFT DISPUTES – PART I

By Fox Rothschild on June 5, 2023

This will be a two-part posting. In this first part, we will focus on the NFT technology, and in the second part the legal underpinnings. NFT technology presents an extraordinary…

Continue Reading THE ROLE OF NFTS IN THE METAVERSE:LITIGATING NFT DISPUTES – PART I
Posted in NFTs

Know Your NFT Before You Sell It or Expect to Send the Money Back

By Fox Rothschild on March 22, 2022
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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

Posted in Bitcoins, Cryptocurrency, NFTs

The SEC, Climate Change, and Disclosure: A Brave New World

By Fox Rothschild on March 22, 2022
meme-climate-risk

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

Posted in Corporate Governance, ESG, General Securities Law News & Updates

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