Traffic Monsoon Limits the Bounds of Morrison
On March 28, 2017, the U.S. District Court for the District of Salt Lake City granted the SEC’s request for a preliminary injunction in SEC v. Traffic Monsoon, LLC. The SEC’s complaint was brought in...
View ArticleSEC Provides Relief from Enforcement Actions Regarding Certain Portions of...
On April 3, 2017, the District Court for the District of Columbia (the “District Court”) entered a final judgment (the “Final Judgment”) in the case of National Association of Manufacturers, et al., v....
View ArticleFinancial CHOICE Act Approved in the House
On June 8, 2017, the House passed H.R. 10, the Financial “CHOICE” Act with a vote of 233 to 186. Introduced on April 27, 2017, the Financial CHOICE Act proposes to amend the Dodd-Frank Act to repeal...
View ArticleHouse Passes Regulatory Reform That Would Loosen Restrictions on BDCs and...
On June 8, 2017, the U.S. House of Representatives, by a vote mostly along party lines, approved a bill that would repeal many of the Dodd-Frank Wall Street Reform and Consumer Protection Act...
View ArticleCongressional Hearing: The Cost of Going Public
On July 18, 2017, the House Subcommittee on Capital Markets, Securities and Investments held a hearing and heard testimony regarding the regulatory burdens facing public companies in the United States...
View ArticleAccess to Capital and Liquidity
The SEC’s Division of Economic and Risk Analysis (DERA) recently produced a Report to Congress regarding the impacts of the Dodd-Frank Act on access to capital for consumers, investors, and businesses,...
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Exempt and Hybrid Securities Offerings (3rd Ed.)
Practising Law Institute’s Exempt and Hybrid Securities Offerings is the first practical, accessible resource to provide you with comprehensive legal, regulatory, and procedural...
View ArticleCapital Formation Bills Pass House Financial Services Committee
On November 15, the House Financial Services Committee approved 23 bills, which included various bills that facilitate capital formation and reduce certain regulatory requirements. Chairman of the...
View ArticleChair Clayton’s Remarks at Northwestern Securities Regulation Institute
In his remarks today, in addition to addressing initial coin offerings and blockchain related matters, Chair Clayton discussed the Securities and Exchange Commission’s remaining Dodd-Frank Act...
View ArticleNot Just for Banks: Congress Passes Legislation Providing Relief from...
On May 24, 2018, President Trump signed into law the Economic Growth, Regulatory Relief, and Consumer Protection Act (the “Act”).While much of the Act was designed to provide smaller financial...
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