Securities & Exchange Commission (SEC)

Finance

Charles A. Volkert, Esq., Joel Wuesthoff, Esq. | Robert Half Legal

Editor: Let’s start off with a brief description of your professional backgrounds. Volkert: I’m the executive director of Robert Half Legal and executive managing director for our eDiscovery Services practice. I graduated from the University of Miami School of Law and was a...

Finance

Jane E. Jablons, Thomas H. Ferguson, Jeanne R. Solomon, Matthew J. Kane | Kelley Drye & Warren LLP

On October 23, 2013, the Securities and Exchange Commission (SEC) proposed long-awaited rules that would implement Title III of the Jumpstart our Business Act (JOBS Act), known as “crowdfunding.” Congress envisioned that allowing crowdfunding would provide small businesses and...

Regulatory & Compliance

Rita M. Molesworth, Dianne E. O'Donnell, Deborah A. Tuchman, Neesa P. Sood | Willkie Farr & Gallagher LLP

Commodity Futures Trading Commission Rule 4.5 provides an exclusion from the definition of “commodity pool operator” (CPO) for, among others, certain registered investment companies that trade commodity interests. Between late 2003 and the beginning of 2012, all registered investment...