SEC Provides Enforcement Driven Guidance On Digital Asset Issuances And Trading
On November 16, 2018, the SEC settled two actions involving cryptocurrency offerings which settlement requires the registration of t...
Home 2018
Nasdaq Amends Its 20% Dilution Shareholder Approval Rule
Effective September 26, 2018, Nasdaq amended Rule 5635(d) to provide greater flexibility and certainty for companies to determine wh...
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The SEC’s Strategic Hub For Innovation And Financial Technology
Responding to the growing necessity, in mid-October the SEC launched a Strategic Hub for Innovation and Financial Technology (FinHub...
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Proposed Rule Changes To Simplify Registered Debt Offerings
This summer the SEC proposed rule changes to simplify disclosure requirements applicable to registered debt offerings for guarantors...
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SEC Fall 2018 Regulatory Agenda
In October 2018, the SEC posted its latest version of its semiannual regulatory agenda and plans for rulemaking with the U.S. Office...
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Rule Changes for OTCQB and OTCQX
Effective January 19, 2019, OTC Markets will require that all U.S.-incorporated OTCQB and OTCQX companies provide verified share dat...
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Recent Notable Changes To Delaware Corporate Law
This summer the Delaware legislature passed several amendments to the Delaware General Corporation Law (DGCL) which impact public an...
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Financial Statement Disclosure Relief Under Rule 3-13
Rule 3-13 of Regulation S-X allows a company to request relief from the SEC from the financial statement disclosure requirements if...
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SEC Commissioner Hester Peirce Continues to Support Technology
In three recent speeches, SEC Commissioner Hester Peirce continued to proclaim her support for technological innovation and freedom...
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Shifting Capital Markets; Bank of America’s Merrill Lynch Exits the Penny Stock Business
There is a strange dichotomy building in the capital markets and what some are calling a clearing firm crisis. At the same time that...
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