A legal blog on private funds, startups, and venture capital.

Tag FINRA

Startups and Venture Capital

FINRA Takes a Small and Extremely Tentative Step Towards Implementing Crowdfunding

Many entrepreneurs have been growing increasingly impatient with the SEC. Not only is the SEC about to be 6 months late in implementing the loosening of the general solicitation requirement of Regulation D, which was mandated by the JOBS Act,…

Alexander J. Davie
December 19, 2012

Private Equity and Hedge Funds

Unlikely Coalition Comes Together in Opposition to the Creation of an SRO for Investment Advisers

As part of the Dodd-Frank Act, Congress directed the SEC to review whether a so-called “self-regulatory organization” (or “SRO”) should be created to regulate investment advisers. Doing so would make investment adviser regulation more akin to the way broker-dealers are…

Alexander J. Davie
August 6, 2012