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Our Take Blog

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Top 5 Regulatory Alerts for March 2012

Top 5 Regulatory Alerts for March 2012

1.     JOBS Act Will Allow General Marketing of Private Funds (3/30/2012)
2.     SEC Takes Action Against Matching Site for Pre-IPO Shares (3/19/2012)
3.     FINRA Best Execution Requires Seeking Broker Quotes for Less Liquid Securities (3/7/2012)
4.     SEC Imposes Significant Co-Investing Conditions (3/27/2012)
5.     SEC Staff Gives Pass to Foreign Adviser (3/26/2012)

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