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The CFTC and NFA Issue No-Action Relief to FCMs and Introducing Brokers in Calculating Net Capital After Receiving of Covered PPP Loans under the CARES Act
April 24, 2020 | Blog | By Therese Doherty, Jason Burrell
On April 23, 2020, the CFTC announced a targeted no-action relief to certain market participants from compliance with net capital treatment of covered loans received under the Paycheck Protection Program (PPP) pursuant to the Coronavirus Aid, Relief, and Economic Security Act (CARES Act).
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FINRA Issues Guidance on Net Capital Treatment of PPP Loans under the CARES Act
April 17, 2020 | Blog | By Pete Michaels
In its online forum regarding COVID-19/Coronavirus, FINRA has issued guidance related to PPP loans.
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FINRA Says Receipt of PPP Loan May Not Require Form U-4 Disclosure
April 15, 2020 | Blog
In its online forum regarding COVID-19/Coronavirus, FINRA stated that a loan received pursuant to the Paycheck Protection Program (PPP) does not necessarily trigger a disclosure on the Form U-4
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SCOTUS to Settle Circuit Split on Rule Applicable to Recharacterization of Debt to Equity Disputes
July 5, 2017 | Blog | By Kaitlin R. Walsh
The Supreme Court has granted certiorari to decide the question of whether bankruptcy courts should apply state law or a federal rule of decision when determining whether to recharacterize a debt claim as a capital contribution.
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SEC Proposes Expansive New Continuing Disclosure Requirements Regarding Private Debt and Other Financial Obligations
March 17, 2017 | Blog | By Charles Carey
On March 15, 2017, the Securities and Exchange Commission (“Commission” or “SEC”) published in the Federal Register for comment proposed amendments to Rule 15c2-12 (the “Rule”) under the Securities Exchange Act of 1934 (“Exchange Act”).
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