Benjamin J. Catalano

Dec 5, 2023 | natlawreview.com | Benjamin J. Catalano

On November 13, 2023, FINRA filed with the SEC a proposal to amendment to Rule 2210 that would create a tailored exception from the general prohibition on projections in marketing materials and other communications with institutional investors, including marketing decks and pitch books for private placements in investment funds and other securities. FINRA Rule 2210(d)(1)(F) currently prohibits any member from including a projected performance in a written communication — retail or institutional.

Nov 29, 2023 | jdsupra.com | Benjamin J. Catalano |Robert Sutton

On November 13, 2023, FINRA filed with the SEC a proposal to amendment to Rule 2210 that would create a tailored exception from the general prohibition on projections in marketing materials and other communications with institutional investors, including marketing decks and pitch books for private placements in investment funds and other securities. FINRA Rule 2210(d)(1)(F) currently prohibits any member from including a projected performance in a written communication — retail or institutional.

Oct 26, 2023 | opalesque.com | Benjamin J. Catalano |Louis Rambo |Elanit Snow |Christopher Wells

Alternative Market Briefing By: Benjamin Catalano, Louis Rambo, Elanit Snow, Christopher Wells, Frank Zarb | Proskauer Rose On October 13, 2023, the Securities and Exchange Commission adopted new Rule 13f-2 to require monthly reporting of short sale positions and activity data on new Form SHO by institutional investment managers. The new rules require monthly reporting on new Form SHO of activity related to a broad spectrum of "equity securities." An investment manager must report on activity...

Oct 26, 2023 | mondaq.com | Frank Zarb |Louis Rambo |Elanit Snow |Benjamin J. Catalano

Applies Broadly to A Wide Range of Equities Compliance Delayed One Year to Permit Fund Systems Updates On October 13, 2023, the Securities and Exchange Commission adopted new Rule 13f-2 to require monthly reporting of short sale positions and activity data on new Form SHO by institutional investment managers.

Oct 25, 2023 | jdsupra.com | Benjamin J. Catalano |Louis Rambo |Elanit Snow

Applies Broadly to A Wide Range of EquitiesCompliance Delayed One Year to Permit Fund Systems UpdatesOn October 13, 2023, the Securities and Exchange Commission adopted new Rule 13f-2 to require monthly reporting of short sale positions and activity data on new Form SHO by institutional investment managers.