Depository Trust Company (DTC)SEC SEC Proposes Shortening Trade Settlement Laura Anthony, Esq.December 27, 2016 On September 28, 2016, the SEC proposed a rule amendment to shorten the standard broker-initiated trade settlement cycle from three... 031500
Regulation S-KRegulation S-XSEC SEC Eliminates The “Tandy Letter” Laura Anthony, Esq.December 20, 2016 July 13, 2017 On October 5, 2016, the SEC Division of Corporation Finance (CorpFin) announced that, effective immediately, it would no longer requ... 053500
Form 8-KPrivate Investment in Public Equity (PIPE)SEC SEC Cracks Down On Failure To File 8-K For Financing Activities; An Overview Of Form 8-K Laura Anthony, Esq.December 13, 2016 December 13, 2016 ABA Journal’s 10th Annual Blawg 100 —————————————̵... 02K00
CrowdfundingIntrastate CrowdfundingIntrastate OfferingRegulation DRule 147Rule 504SECSection 3(a)(11) SEC Modernizes Intrastate Crowdfunding; Amending Rules 147 And 504; Creating New Rule 147A Laura Anthony, Esq.November 29, 2016 On October 26, 2016, the SEC passed new rules to modernize intrastate and regional securities offerings. The final new rules amend R... 082500
CABFINRASEC SEC Has Approved FINRA’s New Category Of Broker-Dealer For “Capital Acquisition Brokers” Laura Anthony, Esq.November 22, 2016 On August 18, 2016, the SEC approved FINRA’s rules implementing a new category of broker-dealer called “Capital Acquisition Brokers”... 031800
C&DIRegulation ARegulation A+Rule 144Rule 701SECSection 5 SEC Issues New C&DI On Rule 701 Laura Anthony, Esq.November 1, 2016 On June 23, 2016, the SEC issued seven new Compliance and Disclosure Interpretations (“C&DI”) related to Rule 701 of the Securit... 01K00
SECSecurities AttorneySecurities Attorneys SEC Announces Enforcement Results For Fiscal Year-End 2016 Laura Anthony, Esq.October 18, 2016 October 18, 2016 On October 11, 2016, the SEC announced its enforcement results for fiscal year-end September 30, 2016 (FYE 2016). In FYE 2016 the S... 025100
Dodd-Frank ActSEC SEC Whistleblower Awards Pass $100 Million As It Continues To Crack Down On Confidentiality Provisions In Employment Agreements Laura Anthony, Esq.September 27, 2016 The SEC has proudly announced that including a $22 million award on August 30, 2016, its whistleblower awards have surpassed $100 mi... 026400
Regulation S-KRegulation S-XSEC SEC Issues Proposed Amendments To Item 601 Of Regulation S-K Related To Exhibits Laura Anthony, Esq.September 20, 2016 On August 31, 2016, the SEC issued proposed amendments to Item 601 of Regulation S-K to require hyperlinks to exhibits in filings ma... 024400
Regulation S-KRegulation S-XSmaller Reporting CompanyThe FAST Act SEC Requests Comment On Changes To Subpart 400 To Regulation S-K Laura Anthony, Esq.September 13, 2016 September 13, 2016 On August 25, 2016, the SEC requested public comment on possible changes to the disclosure requirements in Subpart 400 of Regulation... 038200