SEC Updates CDI Related to Smaller Reporting Company Definition
On June 28, 2018, the SEC adopted the much-anticipated amendments to the definition of a “smaller reporting company” as contained in...
Home 2019 (Page 4)
The 20% Rule – Private Placements
Nasdaq and the NYSE American both have rules requiring listed companies to receive shareholder approval prior to issuing t...
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The 20% Rule- Acquisitions
Nasdaq and the NYSE American both have “20% Rules” requiring listed companies to receive shareholder approval prior to issuing unreg...
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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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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 Under $300 Million Market Cap Class
Depending on whom you ask, a public company with less than $300 million market cap could be considered a micro-cap company, a penny...
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Updated Disclosures for Mining Companies
In the 4th quarter of 2018, the SEC finalized amendments to the disclosure requirements for mining companies under the Securities Ac...
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