Law Blog Category: C&DI

SEC Issues Guidance On Integration With A 506(c) Offering

January 10, 2017 in C&DI, Rule 506, SEC

On November 17, 2016, the SEC Division of Corporation Finance issued a new Compliance and Disclosure Interpretations (C&DI) related to the integration of a completed 506(b) offering with a new 506(c) offering. The new C&DI confirms that 506(c) offering will not integrate with a previously completed 506(b) offering. Effective September, 2013, the SEC adopted final Read the full article…

SEC Issues New C&DI On Rule 701

On June 23, 2016, the SEC issued seven new Compliance and Disclosure Interpretations (“C&DI”) related to Rule 701 of the Securities Act of 1933, as amended (“Securities Act”). On October 19, 2016, the SEC issued an additional three C&DI. The majority of the new C&DI focus on the effect on Rule 701 issuances following a Read the full article…

Testing The Waters; Regulation A+ And S-1 Public Offerings – Part 1

SEC Issues New C&DI On Use Of Non-GAAP Measures; Regulation G – Part 2

June 07, 2016 in C&DI, GAAP, MD&A, Regulation G, Uncategorized

SEC Issues New C&DI On Use Of Non-GAAP Measures; Regulation G – Part 1

May 24, 2016 in C&DI, GAAP, Regulation G, Uncategorized

SEC Issues Rules Implementing Certain Provisions Of The FAST Act

The SEC Issues Guidance On The FAST Act As It Relates To Savings And Loan Companies

SEC Guidance On Proxy Presentation Of Certain Matters In The Merger And Acquisition Context

SEC Proposed Executive Compensation Clawback Rules

SEC Division of Corporation Finance Issues Guidance On Bad Actor Waivers

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