Multiple Classes of Stock and the Public Company
In March 2017, Snap Inc. completed its IPO, selling only non-voting Class A common shares to the investing public and beginning an o...
Home 2018 (Page 4)
SEC Continues to Review, And Delay, Crypto Funds
On January 18, 2018, the SEC issued a letter to the Investment Company Institute and the Securities Industry and Financial Markets A...
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OTC Markets Makes Several Regulatory Recommendations
On March 8, 2018, Cromwell Coulson, CEO of OTC Markets Group, made a presentation to the SEC’s Investor Advisory Committee (“IAC”) a...
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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...
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ABA Comment Letter On Disclosures Under Regulation S-K
In December 2017, the American Bar Association (“ABA”) submitted its fourth comment letter to the SEC related to the financial and b...
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What is a SAFT?
A Simple Agreement for Future Tokens (“SAFT”) is an investment contract originally designed to provide a compliant alternative to an...
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Regulation A+ Continues To Grow
The new Regulation A/A+, which went into effect on June 19, 2015, is now three years old and continues to develop and gain market ac...
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The Division of Corporation Finance’s Disclosure Review And Comment Process
Those that regularly read my blog know that I sometimes like to go back to basics. This blog will revisit and discuss the SEC’s Divi...
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The SEC’s 2018 Flex Regulatory Agenda
In December 2017, the SEC posted its latest version of its semiannual regulatory agenda and plans for rulemaking with the U.S. Offic...
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The SEC Has Issued New Guidance On Cybersecurity Disclosures
On February 20, 2018, the SEC issued new interpretative guidance on public company disclosures related to cybersecurity risks and in...
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