Home 2016
DTC Again Proposes Procedures For Issuers Subject To Chills And Locks
On June 3, 2016, the DTC filed a new set of proposed rules to specify procedures available to issuers when the DTC imposes or intend...
1
765
0
0
SEC Proposes Shortening Trade Settlement
On September 28, 2016, the SEC proposed a rule amendment to shorten the standard broker-initiated trade settlement cycle from three...
0
266
0
0
SEC Eliminates The “Tandy Letter”
On October 5, 2016, the SEC Division of Corporation Finance (CorpFin) announced that, effective immediately, it would no longer requ...
0
466
0
0
SEC Cracks Down On Failure To File 8-K For Financing Activities; An Overview Of Form 8-K
ABA Journal’s 10th Annual Blawg 100 —————————————̵...
0
1.8K
0
0
Yahoo Hacking Scandal And Obligations Related To Cybersecurity
On September 26, 2016, Senator Mark R. Warner (D-VA), a member of the Senate Intelligence and Banking Committees and cofounder of th...
0
309
0
0
SEC Modernizes Intrastate Crowdfunding; Amending Rules 147 And 504; Creating New Rule 147A
On October 26, 2016, the SEC passed new rules to modernize intrastate and regional securities offerings. The final new rules amend R...
0
735
0
0
SEC Has Approved FINRA’s New Category Of Broker-Dealer For “Capital Acquisition Brokers”
On August 18, 2016, the SEC approved FINRA’s rules implementing a new category of broker-dealer called “Capital Acquisition Brokers”...
0
268
0
0
House Passes Accelerated Access To Capital Act
On September 8, 2016, the U.S. House of Representatives passed the Accelerating Access to Capital Act. The passage of this Act conti...
0
300
0
0