Web14 May 2024 · In a letter to SEC Secretary Brent J. Fields, dated January 15, 2016, NASAA provided comments to the SEC proposal to adopt the CAB Rules. 25 In its comments, NASAA noted that the NASAA model rule adopted in September 2015 paralleled language contained in pending federal legislation (Senate Bill 1010 and House Bill 686, which … Web18 Dec 2024 · Adopted. Section 1504. Disclosure of payment by resource extraction issuers. The Commission’s rule implementing Section 1504 was invalidated on February 14, 2024, by a joint resolution of disapproval enacted pursuant to the Congressional Review Act. The Commission adopted a new rule on December 16, 2024.
The SEC reveals 2024 priorities in new agenda Reuters
Web19 Aug 2024 · If adopted, the Proposal will create two types of exempt Finders, Tier I Finders, and Tier II Finders. Each class of Finders would be subject to specified … Web13 Oct 2024 · Accordingly, the SEC expressly asked for comment on whether it should adopt comparable disclosure requirements with disclosures required under the proposed changes to Rule 206(4)-3 under the Advisers Act for solicitations of investors in private funds, if adopted (or, alternatively, whether the disclosures required by Tier II Finders should be … the 2nd amendment is not outdated
SEC Proposes Changes to Allow Finders to (lawfully) Charge Fees …
WebProposed Rules; Final Rules; Interim Final Rules; Concept Releases; Interpretive Releases; Policy Statements; PCAOB Rulemaking; SRO Rulemaking and NMS Plans; Exchange Act … Web5 Nov 2024 · The SEC’s rule proposal divides finders into two tiers—one for the proverbial dentist or mail carrier who identifies a potential investor on a passive, isolated basis (a … Web21 Oct 2024 · On October 7, 2024, the SEC issued a proposed order 1 that would, if adopted, exempt from broker-dealer registration requirements under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), certain compensated “finders” of investors for private issuers. The proposed order demonstrates the SEC’s continued focus on … the 2nd anti-uav workshop \u0026 challenge