Wed 30 Dec, 2020 / by C. Dirk Peterson / Securities Regulation
DOWNLOAD PDF Updated: March 26, 2021 New Rule 206(4)-1 – Adviser Marketing Introduction The Securities and Exchange Commission (“SEC” or “Commission”) delivered on highly anticipated regulatory reforms relevant to the marketing practices of investment advisers registered pursuant to, and regulated by, the Investment Advisers Act of 1940 (“Advisers Act”). The […]
Wed 14 Oct, 2020 / by C. Dirk Peterson / Securities Regulation
In a nod to both Wall Street and Main Street, the SEC recently proposed an order to deregulate certain capital-raising efforts for private issuers. The proposal prescribes conditions to permit natural-person finders to raise capital for issuers absent the finder submitting to the substantive broker-dealer registration and regulatory regime prescribed […]
Fri 04 Oct, 2019 / by McIntyre & Lemon / Announcements
McIntyre & Lemon is proud to announce that it has taken over the annual updates for the treatise Insurance Activities of Banks by Karol Sparks. McIntyre & Lemon has been a long time contributor to the treatise and is the author of Chapter 14, “Debt Cancellation Products.” McIntyre & Lemon would like to thank Ms. […]
Sun 01 Sep, 2019 / by McIntyre & Lemon / Speaking Engagements
Chrys Lemon will be speaking at the American Bankers Association Insurance Distribution Exchange, the only national event devoted exclusively to the sale of insurance products and annuities by banks, in Austin, Texas on September 22-25, 2019. Topics of discussion include third party oversight and vendor management, the Bank Secrecy Act, incentive […]
Tue 16 Jul, 2019 / by McIntyre & Lemon / Client Alerts
On June 25, the CFPB held a symposium to discuss whether the definition of abusive, as that term is used in the Dodd-Frank Act, should be clarified by a rule or other guidance.
