Regulatory & Compliance
More Regulatory & Compliance Articles
Regulatory & Compliance
SEC Adopts Net Worth Standard For Accredited Investors Under Regulation D
Effective July 21, 2010, the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act modified the $1 million net worth test for qualifying as an “accredited investor” under Regulation D to exclude for the first time the value of a person’s primary residence.[1] The...
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Business Acumen And Regulatory Experience Enrich Healthcare Practice
Editor: You served as chief operating officer of multiple acute-care hospitals throughout the United States. What prompted you to make the change to work for a law firm? Grimm: Running hospitals is very challenging and rewarding work and requires balancing the needs and goals of multiple...
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SEC Charges Investment Adviser In Social Media Scam, Issues Two Alerts
The SEC charged an Illinois-based investment adviser on January 4, 2012 with trying to sell fictitious securities, allegedly offering more than $500 billion of the bogus investments on various social media web sites such as LinkedIn. In the SEC’s order instituting administrative proceedings...
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