Archive for September, 2013


SEC and CFTC Identity Theft Regulations Action Items Before November 20, 2013

Earlier this year the CFTC and the SEC adopted identity theft rules and guidelines (the “Regulations”) that require certain CFTC…

Rule 506 “Bad Actor” Disqualification from 506 Safe Harbor

On July 10, 2013, the SEC adopted rules prohibiting the use of Rule 506 of Regulation D (“Rule 506”) for…