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Legal Articles: Shartsis Friese LLP

 







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Adobe PDFCFTC Announces New Approach for Delegation by Commodity Pool Operators
Shartsis Friese LLP;
Legal Alert/Article
June 11, 2014, previously published on May 16, 2014
On May 12, 2014, the U.S. Commodity Futures Trading Commission (“CFTC”) announced a standardized, streamlined approach for no-action requests relating to delegation of commodity pool operator (“CPO”) activities by an unregistered CPO to a registered CPO. Delegation typically...

 

Adobe PDFRule 506 “Bad Actor” Disqualification from 506 Safe Harbor
Shartsis Friese LLP;
Legal Alert/Article
October 1, 2013, previously published on September 19, 2013
On July 10, 2013, the SEC adopted rules prohibiting the use of Rule 506 of Regulation D (“Rule 506”) for any securities offering involving certain “bad actors” (the “Rule”). We addressed the Rule in our letter dated August 2, 2013. This letter...