Tag: SEC

SIE Webinar

Changes to SEC Exempt Offering Rules

Changes to SEC Exempt Offering Rules Regulation A and Regulation D In November of 2020, the Securities and Exchange Commission (SEC) voted to amend its rules in order to harmonize, simplify, and improve the exempt offering framework that it believed had become too complex.…

New Regulation Best Interest Rules (Podcast)

Learn about the four components of the SEC’s new Regulation Best Interest rule that went into effect June 30, 2020 from STC’s Chief Learning Officer, Todd Rosenfeld.  Todd breaks down the new rules and interpretations designed to enhance the quality of retail investors’ relationships…