Thursday, September 03. 2020

SEC Updates List of Firms Using Inaccurate Information to Solicit Investors

On August 31st, the SEC revised its list of unregistered entities using misleading data to solicit primarily non-US investors. Twenty-three soliciting entities, eight impersonators of legitimate securities firms, and seven phony regulators have been added to the the Public Alert: Unregistered Soliciting Entities (PAUSE) list.
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Posted by
The Novaworks Team
in Investor Education, SEC at 16:30

FERC Extends Deadlines for Certain Forms for Entities Affected by Hurricane Laura

On August 28, FERC extended deadlines for some forms through and including September 30th for entities and investment professionals affected by Hurricane Laura in the Gulf Coast region of the United States. In recognition of these emergency conditions, and following sections 385.101(e) and 385.2008 of FERC’s Rules of Practice and Procedure, 18 C.F.R. §§ 385.101(e) and 385.2008 (2019), FERC has determined that there is good cause to grant this extension of time.
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Posted by
The Novaworks Team
in FERC, FERC Filing Help, Filing Technology at 13:47
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