Don't miss out! Sign up today for our weekly newsletters and stay abreast of important GRC-related information and news.
The Filing Cabinet
"The Filing Cabinet," which covers compliance with the Dodd-Frank Act and the Sarbanes-Oxley Act, as well as other regulatory action from the Securities and Exchange Commission, executive compensation, and shareholder activism, is written by CW staff writer Joe Mont. Mont welcomes questions, comments, and statements from readers on SEC filing matters and will address them here when appropriate. Readers can contact him at joe.mont@complianceweek.com.
1 results found, filtered by:
No active filters
-
The Filing Cabinet Blog
CFTC Eases Marketing Restrictions for Private Issuers
Joe Mont | September 10, 2014
Sept. 10—The Commodity Futures Trading Commission is making it easier to market private securities offerings to the general public, by harmonizing its rules with those amended last year by the SEC. A newly issued no-action letter by the CFTC’s Division of Swap Dealer and Intermediary Oversight eases marketing restrictions on offerings by hedge funds, private equity funds, and venture capital funds. In its no-action letter, the CFTC detailed its own conditions. More details inside.
Displaying 1 result