Tag Archives: bad boy disqualifications

SEC Grants Second “Bad Actor” Waiver

Posted on January 13, 2014 by JeffKoeppel

The SEC has issued its second “bad actor” waiver in the case of Instinet. Instinet agreed to a settlement order arising from its payments requested by Instinet’s customer J.S. Oliver Capital Management, L.P. (“JS Oliver”) for expenses that JS Oliver had not … Continue reading →

Posted in Broker dealers, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, FINRA, Funding Portals, Investments, Legislative Intent, SEC, Uncategorized, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , | Leave a comment

ABA Weighs In on Crowdfunding

Posted on March 25, 2013 by JeffKoeppel

The American Bar Association’s Business Law Section, a group of influential securities attorneys, last week filed their (belated?) comments with the Securities and Exchange Commission on the Crowd Fund Act. Because many of these lawyers used to be on the … Continue reading →

Posted in Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, FINRA, Funding Portals, Investments, Jobs, Legislative Intent, SEC, Small Business, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment