Depository Trust Company (DTC)Dodd-Frank ActFINRASarbanes-Oxley Act of 2002SECSEC Guidance SEC Chair Jay Clayton Discusses Direction Of SEC Laura Anthony, Esq.August 1, 2017 In a much talked about speech to the Economic Club of New York on July 12, 2017, SEC Chairman Jay Clayton set forth his thoughts on... 042400
Regulation A+SECSmaller Reporting CompanyTest The WatersThe FAST Act SEC Expands Ability To File Confidential Registration Statements Laura Anthony, Esq.July 25, 2017 On June 19, 2017, the SEC announced that the Division of Corporation Finance will permit all companies to submit draft registration... 080400
IPOSEC SEC Commissioner Piwowar Speaks On The IPO Market Laura Anthony, Esq.July 18, 2017 July 18, 2017 On May 16, 2017, SEC Commissioner Michael Piwowar gave the opening remarks to the SEC-NYU Dialogue on Securities Market Regul... 042800
GAAPMD&APCAOB AuditingSEC SEC Chief Accountant Speaks On Financial Reporting Laura Anthony, Esq.July 11, 2017 On June 8, 2017, the SEC Chief Accountant, Wesley R. Bricker, gave a speech before the 36th Annual SEC and Financial Reporting Insti... 043000
Regulation ARegulation A+SEC SEC Issues Additional Guidance on Regulation A+ Laura Anthony, Esq.June 20, 2017 June 26, 2017 On March 31, 2017, the SEC Division of Corporation Finance issued six new Compliance and Disclosure Interpretations (C&DI) to pr... 068500
IPOJOBS ACTJOBS ACT and CrowdfundingSEC SEC Completes Inflation Adjustment Under Titles I And III Of The Jobs Act; Adopts Technical Amendments Laura Anthony, Esq.April 25, 2017 On March 31, 2017, the SEC adopted several technical amendments to rules and forms under both the Securities Act of 1933 (“Securitie... 044800
Depository Trust Company (DTC)NASDAQNYSE MKTOTC MarketSEC SEC Adopts The T+2 Trade Settlement Cycle Laura Anthony, Esq.April 18, 2017 ABA Journal’s 10th Annual Blawg 100 —————————————̵... 040300
Regulation S-KRegulation S-XSEC SEC Issues Final Rules Requiring Links To Exhibits Laura Anthony, Esq.April 11, 2017 On March 1, 2017, the SEC passed a final rule requiring companies to include hyperlinks to exhibits in filings made with the SEC. Th... 027800
CEO/CFO Certification RequirementsDodd-Frank ActSarbanes-Oxley Act of 2002SEC SEC Completes Inflation Adjustment To Civil Penalties Laura Anthony, Esq.March 21, 2017 ABA Journal’s 10th Annual Blawg 100 —————————————̵... 044900
SEC SEC Announces Examination Priorities For 2017 Laura Anthony, Esq.March 7, 2017 On January 12, 2017, the SEC announced its Office of Compliance Inspections and Examinations (OCIE) priorities for 2017. The OCIE ex... 023400