Going Public Without An IPO
On April 3, 2018, Spotify made a big board splash by debuting on the NYSE without an IPO. Instead, Spotify filed a resale registrati...
Home 2018 (Page 2)
FINRA Examines Fintech Including Blockchain
On July 30, 2018, the Financial Industry Regulatory Authority (FINRA) published a Special Notice seeking public comments on how FINR...
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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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Proposed SPAC Rule Changes
With the growing popularity of special purpose acquisition companies (SPACs), both the Nasdaq and NYSE have proposed rule changes th...
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SEC Issues Additional C&DI On Use Of Non-GAAP Measures
On April 4, 2018, the SEC issued two new Compliance & Disclosure Interpretations (C&DI) related to the use of non-GAAP finan...
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SEC and NASAA Statements on ICOs and More Enforcement Proceedings
The message from the SEC is very clear: participants in initial coin offerings (ICO’s) and cryptocurrencies in general need to compl...
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Multiple Changes To Private Offering Compliance And Disclosure Interpretations (C&DI)
The SEC has been fine-tuning its Compliance and Disclosure Interpretations (C&DI), making multiple amendments, additions and del...
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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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SEC Amends Definition of “A Smaller Reporting Company”
On June 28, 2018, the SEC adopted the much-anticipated amendments to the definition of a “smaller reporting company” as contained in...
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The Senate Banking Committee’s Hearing On Cryptocurrencies
On February 6, 2018, the United States Senate Committee on Banking Housing and Urban Affairs (“Banking Committee”) held a hearing on...
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