The SEC Highlights Growing Concerns About Private Tech Startup Funding To Eager Investors

By: DWH Legal On Wednesday, at the annual Securities Regulation Institute conference in Coronado, California, Securities and Exchange Commission Chair Mary Jo White shared the agency’s growing  concern about the aggressive promotion of private tech startup companies to investors.  The SEC’s concern centers around investors unable to receive sufficient or accurate information when choosing to make investments. Many tech startups…

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FINRA Releases Its Regulatory and Examinations Priorities for 2016

By: Doug Hyman, Principal, DWH Legal On January 5, 2016 the Financial Industry Regulatory Authority (“FINRA”) published its 11th annual Regulatory and Examination Priorities letter containing its areas of focus in 2016.  Within the letter FINRA highlights three broad areas of focus - culture, conflicts of interest and ethics; supervision, risk management and controls; and liquidity.  The letter goes on…

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