Corporate & Financial Weekly Digest

Corporate & Financial Weekly Digest

Robert Weiss

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US Reporter Deadlines for Bureau of Economic Analysis BE-180 Report

Posted in Broker-Dealer, Investment Companies and Investment Advisers, SEC/Corporate
Every five years, the US Commerce Department’s Bureau of Economic Analysis (BEA) conducts a survey concerning financial services transactions between US “Financial Services Providers” (defined below) and entities domiciled or incorporated outside the United States (Foreign Persons). Each US entity that (1) is a Financial Services Provider; and (2) either was contacted by the BEA… Continue Reading

NASAA Launches a Streamlined Filing Process for Form D

Posted in SEC/Corporate
The North American Securities Administrators Association (NASAA) recently announced the launch of the online Electronic Filing Depository (EFD). The EFD is an online system that creates a streamlined process to enhance the efficiency of paying the filing fee and submitting a Form D filing for a Regulation D, Rule 506 offering to multiple state securities… Continue Reading