Law Blog Category: Regulation A

The SEC Has Issued New C&DI Guidance On Regulation A+

January 24, 2017 in C&DI, Regulation A, Regulation A+, SEC

  On November 17, 2016, the SEC Division of Corporation Finance issued three new Compliance and Disclosure Interpretations (C&DI) to provide guidance related to Regulation A/A+. Since the new Regulation A+ came into effect on June 19, 2015, its use has continued to steadily increase.  In my practice alone I am noticing a large uptick 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 2

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

OTC Markets Petitions The SEC To Expand Regulation A To Include SEC Reporting Companies

State Blue Sky Concerns; Florida and New York

More On Regulation A/A+; Thoughts On The Practical Effects And New SEC Guidance

Regulation A+; An In-Depth Overview

SEC Division of Corporation Finance Issues Guidance On Bad Actor Waivers

SEC Has Published Final Rules Adopting Regulation A+

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