Law Blog Tag: Rule 144

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…

House Passes More Securities Legislation

SEC Small Business Advisory Committee Public Company Disclosure Recommendations

SEC Issues Guidance On General Solicitation And Advertising In Regulation D Offerings

Going Public Transactions For Smaller Companies: Direct Public Offering And Reverse Merger

The Section 4(a)(1) And 4(a)(1½) Exemption; Recommendations For An Amendment To Rule 144 Related To Shell Companies

First Issuer Completes NASAA Coordinated Review For Regulation A Offering

Will the Disclosure Modernization and Simplification Act of 2014 Simplify Reporting Requirements for ECG’s and Smaller Reporting Companies?

Depositing Penny Stocks with Brokers Creates Obstacles; SEC Charges E*Trade with Section 5 Violation

SEC Filed Actions Against 19 Firms and One Individual Trader for Violation of Rule 105 of Regulation M

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