Derivatives Use News Today : Breaking News, Live Updates & Top Stories | Vimarsana

Stay updated with breaking news from Derivatives use. Get real-time updates on events, politics, business, and more. Visit us for reliable news and exclusive interviews.

Top News In Derivatives Use Today - Breaking & Trending Today

Regulatory Update and Recent SEC Actions - January 2021 | Blank Rome LLP

REGULATORY UPDATES
SEC Proposes Conditional Exemption for Finders Assisting Small Businesses with Capital Raising
On October 7, 2020, the Securities Exchange Commission (the “SEC”) proposed a conditional exemption from broker registration requirements for certain “finders” who assist issuers with raising capital in private markets. If adopted, the proposed exemption would permit natural persons to engage in certain limited activities involving accredited investors without registering with the SEC as brokers. The proposed exemption seeks to assist small businesses in raising capital and to provide regulatory clarity to investors, issuers, and the finders who assist them. The proposed exemption would establish guidelines for both registered broker activity and limited activity by finders that would be exempt from registration. ....

New York , United States , William Duhnke , Paul Sarbanes , William Hinman , Heathp Tarbert , Hester Peirce , Cindy Axned Iowa , Brendan Boyled Pa , Eladl Roisman , Kara Stein , Gary Gensler , Allison Herren Lee , Sagar Teotia , Jay Clayton , Dalia Blass , Modernizes Framework For Fund Valuation Practices , Investment Company , Us District Court , Crypto Fund , Us Defense Department , Chicago Board Options Exchange , Business Development Companies , Congress Amends Exchange , Division Of Enforcement Complex Financial Instruments Unit , Division Of Investment Management ,

Investment Management, Trading & Markets Updates – January 2021 | Alston & Bird

SEC Final Rule on Modernized Marketing for Investment Advisers
On December 22, 2020, the Securities and Exchange Commission (SEC) passed a final rule to modernize marketing under the Investment Advisers Act of 1940, as amended. The amendments create a single rule that replaces the current advertising and cash solicitation rules, Rule 206(4)-1 and Rule 206(4)-3, respectively. The staff of the Division of Investment Management also expects to withdraw no-action letters and other guidance that previously applied to the advertising and cash solicitation rules. Additionally, the SEC has made related amendments to Form ADV, the investment adviser registration form, and Rule 204-2, the books and records rule, to reflect the new rule. The revised Rule 206(4)-1 generally: (1) codifies the previous guidance that prohibits untrue statements of material facts, omitting material facts, misleading statements, and any presentations that could be misleading; (2) will now allow for the use of ....

Commodity Futures Trading Commission , Exchange Commission , Us Department Of Labor , National Futures Association , Modernizes Framework For Fund Valuation Practices , Investment Company , Division Of Investment Management , Modernized Marketing , Investment Advisers Act , Investment Management , Federal Register , Fund Valuation , Investment Company Act , Best Interest , Swaps Proficiency Requirement , Improves Exempt Offering , Securities Act , For Regulation , Derivatives Use , Registered Funds , பண்டம் எதிர்காலங்கள் வர்த்தக தரகு , பரிமாற்றம் தரகு , எங்களுக்கு துறை ஆஃப் தொழிலாளர் , தேசிய எதிர்காலங்கள் சங்கம் , முதலீடு நிறுவனம் , பிரிவு ஆஃப் முதலீடு மேலாண்மை ,