Simon Riveles a Panelist at the Hedge Fund Association’s Student Symposium at Seton Hall on November 20th

Simon Riveles Uncategorized

On November 20, 2013, the Hedge Fund Association (“HFA”), an international non-for-profit organization made up of hedge funds, funds of hedge funds, family offices, high net worth individuals, and service providers, is sponsoring the HFA Inaugural Student Symposium at Seton Hall entitled, How to Find Your Fortune Without Losing Your Soul. The Symposium was a unique opportunity for Seton Hall students interested in learning more …

New Derivative Position Limit Rule

Simon Riveles CFTC, Futures, Position Limit

Under the Dodd–Frank Wall Street Reform and Consumer Protection Act (commonly referred to as “Dodd-Frank”), Congress required the Commodities Futures Trading Commission (“CFTC”) to impose limits in speculative positions in physical commodity futures and options contracts and economically equivalent swaps. On November 5, 2013, the CFTC in a 3-1 vote approved a new rule (the “Rule”) that establishes position limits in 28 physical commodity futures …

Proposed Crowdfunding Rules Available for Public Comment

Simon Riveles Accredited Investor, Advertising, Crowdfunding, SEC, Uncategorized

On October 23, 2013, the SEC released a set of proposed rules under the JOBS Act (the “Act”), which would permit emerging growth companies (EGC’s) to offer and sell securities through crowdfunding platforms.  In their current form, the proposed rules closely resemble the original parameters outlined in Section III of the Act, the section from which the crowdfunding provision was born.  The rules will be …