Law Blog Tag: sec

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 Report On Regulation S-K

As required by Section 72003 of the Fixing America’s Surface Transportation Act (the “FAST Act”), on November 23, 2016, the SEC issued a Report on Modernization and Simplification of Regulation S-K (the “Report”) including detailed recommendations for changes. The Report continues the ongoing review and proposed revisions to Regulations S-K and S-X as related to Read the full article…

SEC Proposes Shortening Trade Settlement

December 27, 2016 in Depository Trust Company (DTC), SEC

On September 28, 2016, the SEC proposed a rule amendment to shorten the standard broker-initiated trade settlement cycle from three business days from the trade date (T+3) to two business days (T+2). The change is designed to help reduce risks, including credit, market and liquidity risks, associated with unsettled transactions in the marketplace. Outgoing SEC Read the full article…

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

SEC Proposes Amendments To Definition Of “Small Reporting Company”

SEC Issues Concept Release On Regulation S-K; Part 2

SEC Issues Concept Release On Regulation S-K; Part 1

May 03, 2016 in Regulation S-K, SEC, Uncategorized

The U.S. Capital Markets Clearance And Settlement Process

Regulation SCI

April 12, 2016 in Regulation SCI, SEC, Uncategorized

Responding To SEC Comments

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