Thomas John Holton

SEC Adopts Rules Implementing Certain Dodd-Frank Act Provisions and Delaying Investment Adviser Registration Requirements
Thomas John Holton,Smriti Kodandapani,Robert G. Leonard,Steven G. Vecchio, June 30, 2011
On June 22, 2011, the United States Securities and Exchange Commission adopted final rules and rule amendments under the Investment Advisers Act to implement certain provisions of the Dodd-Frank Act regarding the registration of investment advisers and managers of private funds. As discussed...

SEC Proposes Rules Disqualifying Some Felons and Other “Bad Actors” From Reg. D Offerings
Mana Behbin,Thomas John Holton, June 9, 2011
In late May 2011, the U.S. Securities and Exchange Commission proposed rules that would disqualify certain “bad actors” from using one of the most common “private placement” exemptions from the registration requirements of the Securities Act of 1933 (the “Securities...