Tag: SEC

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An Evaluation Of The U.S. Regulatory Response to Systemic Risk and Failure Posed by Derivatives

Added by 8 months ago

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This Article will focus on Titles II and VII of the Dodd-Frank Act in order to examine how transacting in derivatives has changed in the aftermath of this legislation and to assess how the bankruptcy of a systemically important financial institution engaged in derivative transactions will be approached.

Making Equity Crowdfunding Work for the Unaccredited Crowd

Added by 8 months ago

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The Jumpstart Our Business Startups (JOBS) Act creates a new “crowdfunding exemption” that will allow companies to raise up to $1 million every twelve months by selling their stock (or other unregistered securities) to both accredited and unaccredited investors, provided that the sales are made through registered intermediaries. This article summarizes why the crowdfunding exemption is important, explains how its expected costs are problematic, and proposes ways to mitigate those costs without sacrificing investor protection.

The CFTC’s Cross-Border Guidance for Swaps and Substituted Compliance Regime

Added by 1 year ago

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James Schwartz: The regulation of the swaps market, in which transactions between counterparties in wide-ranging jurisdictions have long been routine, requires international coordination and cooperation. If this were lacking, the consequences could include regulatory arbitrage, outsized compliance costs for, or incomplete compliance by, market participants, the fracturing of liquidity among different jurisdictions, and perhaps even political tensions.

The Equity Façade of SEC Disgorgement

Added by 1 year ago

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Russell G. Ryan: The SEC commonly describes disgorgement as an equitable remedy, and courts similarly begin their disgorgement analyses by assuming as axiomatic the equitable nature of disgorgement. But what if that premise is wrong? What if disgorgement is an equitable remedy only some of the time? What if in many cases it is actually a remedy at law, or even a punitive remedy? And what if in some cases the very label of disgorgement is a misnomer?

SPACs and the JOBS Act

Added by 2 years ago

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Usha Rodrigues: The JOBS Act’s IPO on-ramp was intended to ease regular companies’ path to going public; instead, it has inadvertently made it easier for the average investor to get a taste of private equity...

Complexity of Regulation

Added by 2 years ago

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Chester S. Spatt: While our financial system is itself very complex, our financial regulators would benefit in many cases by designing simple and robust approaches…

Comments on Seasoning of Reverse Merger Companies Before Uplisting to National Securities Exchanges

Added by 2 years ago

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David N. Feldman: Blockbuster Entertainment, Occidental Petroleum, Turner Broadcasting, Tandy Corp. (Radio Shack), Texas Instruments, Jamba Juice, and Berkshire Hathaway are just a few well-known companies that went public through a "reverse merger."

Conflict Minerals and SEC Disclosure Regulation

Added by 2 years ago

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Celia R. Taylor: Dodd-Frank's conflict minerals provision is framed as a disclosure requirement and thus seemingly falls within the purview of the SEC. However, the provision in fact is a back-end run around...

Proposed SEC Rules Could Limit Carried Interest and Incentive Compensation Paid by Private Equity Firms

Added by 3 years ago

1.31K Views1 Comments

Elizabeth Pagel Serebransky, Michael P. Harrell, Jonathan F. Lewis and Charity Brunson Wyatt: While private equity professionals have been keenly aware in recent years of proposed changes to the U.S. tax code...

Dodd-Frank, Compensation Ratios, and the Expanding Role of Shareholders in the Governance Process

Added by 3 years ago

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J. Robert Brown, Jr.: The Dodd-Frank Act sought to correct some of the abuses believed to have contributed to the financial crisis of 2008-2009.  Executive compensation was one of them...

The Crystallization of Hedge-Fund Regulation

Added by 3 years ago

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Jeff Schwartz: Eleven months after Dodd-Frank was signed into law, the SEC issued final rules pertaining to Title IV of the Act, which calls for the registration of advisers to hedge funds...

The SEC’s New Dodd-Frank Advisers Act Rulemaking: An Analysis of the SEC’s Implementation of Title IV of the Dodd-Frank Act

Added by 3 years ago

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Kenneth W. Muller, Jay G. Baris, and Seth Chertok: The Title IV of the Dodd-Frank Act substantially changes the registration regime under the Investment Advisers Act...

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