...-dealers under the Securities Exchange Act of 1934, as investment advisers under the Investment Advisers Act of 1940 and as investment companies under the Investment Company Act of 1940, and how peer lending platforms are structured to take into account the laws that govern online transactions, consumer...

...Richard J. Parrino; Peter Romeo; Alan Dye Purpose – The purpose of this paper is to review the enforcement initiative announced by the US Securities and Exchange Commission (SEC) in September 2014 directed at reporting violations of the Securities Exchange Act of 1934 (Exchange Act) by public...

... can be contacted at: richard.parrino@hogallovells.com © Authors 2014 Social media USA Securities Exchange Act of 1934 Securities regulation Communications rules Securities Act of 1933 SEC rules permit issuers and other parties engaged in registered securities offerings...

... compensation for services provided in connection with sales of private companies without having to register and be regulated by the SEC as broker-dealers under the USA Securities Exchange Act of 1934. Design/methodology/approach – Examines the new SEC staff interpretative guidance on activities of M...

... records, provide reports, and monitor large trader activity starting on April 30, 2012. © Authors 2011 Securities Exchange Act of 1934 Broker‐dealers Securities trading Securities regulation Investments Advisory services Regulation United States of America The SEC has adopted Rule...

... content, who is? Investment advisers Hedge funds Mutual funds Securities Exchange Act of 1934 Securities regulation Investments Advisory services Hedging Regulation United States of America The US Supreme Court's recent decision in Janus Capital Group, Inc. v. First...