SEC Proposes Expanding Testing The Waters For All Companies
As anticipated, on February 19, 2019 the SEC voted to propose an expansion of the ability to “test the waters” prior to the effectiv...
Home 2019 (Page 3)
SEC Rules For Disclosure Of Hedging Policies
In December 2018, the SEC approved final rules to require companies to disclose practices or policies regarding the ability of emplo...
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Regulation A+ Now Available For Publicly Reporting Companies
On December 19, 2018, the SEC adopted final rules allowing reporting companies to Rely on Regulation A to conduct securities offerin...
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The Treasury Department Report To The President On FinTech And Innovation
This summer, the U.S. Department of the Treasury issued a report to President Trump entitled “A Financial System That Creates Econom...
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The SEC, FinCEN And CFTC Issue A Joint Statement On Digital Assets
On October 11, 2019 the SEC, FinCEN and CFTC issued a joint statement on activities involving digital assets. Various agencies...
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SEC Cautionary Statement on Audits of Public Companies Operating in China
Eight years following the crash of the Chinese reverse merger boom and a slew of SEC enforcement proceedings, the SEC is once again...
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SEC Proposes Amendments To 15c2-11
As anticipated, on September 26, 2019, the SEC published proposed amendments to Securities Exchange Act (“Exchange Act”)&n...
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SEC Solicits Input To Improve Markets For Thinly Traded Securities
On October 17, 2019, the SEC made a statement inviting stock exchanges and market participants to submit “innovative propo...
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SEC Proposes To Tighten Shareholder Proposal Thresholds
As anticipated on November 5, 2019, the SEC issued two highly controversial rule proposals. The first is to amend&nb...
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SEC Issues Guidance On Proxy Advisory Firms
On August 29, 2019, the SEC issued anticipated guidance related to the application of the proxy rules to proxy advisory firms. ...
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