The Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) continue to issue regulations implementing the OTC derivatives provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank).  In a Q&A, Robin Powers of the Rimon Law Group discusses Title VII of Dodd-Frank and its impact on margin/collateral posed by End-Users. This article appeared…

The SEC recently voted to propose amendments to the net worth standard for determining accredited investor status under the Securities Act of 1933.  Under the proposal, the SEC’s rules would be amended to exclude the value of an individual’s primary residence in calculating net worth for the purposes of determining whether a person qualifies as…

The SEC proposed rules which would require any company that uses “conflict minerals” from the Democratic Republic of the Congo to provide a detailed annual report to the SEC.   Under a proposal adopted by the SEC, public companies would be required to report annually whether the goods they manufacture contain minerals from war-torn central Africa.…

The Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 10-22 on April 20, 2010. The notice, which came in light of recent abuses in Regulation D offerings, was intended to be a reminder to broker-dealers of their obligation to conduct a reasonable investigation of the issuer and the securities they recommend in offerings made under…