OTCQX Rule Changes
Effective December 12, 2019, the OTC Markets has implemented changes to the initial and continued quotation requirements for compani...
Year: 2020
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SEC Adopts Amendments To Accelerated And Large Accelerated Filer Definitions- Part 2
SEC Adopts Amendments To Accelerated And Large Accelerated Filer Definitions- Part 2 -EC Adopts Amendments To Accelerated And Large...
SEC Proposes Amendments To Rule 144
I’ve been at this for a long time and although some things do not change, the securities industry has been a roller coaster of chang...
SEC Proposed To Modernize Auditor Independence Rules
As is usual, there are times where I find there are fewer current events to write about in the world of capital markets an...
Nasdaq Proposed Rule Changes To Its Discretionary Listing And Continued Listing Standards
On April 21, 2020, the SEC Chairman Jay Clayton and a group of senior SEC and PCAOB officials issued a...
NASDAQ Provides Additional Relief To Shareholder Approval Requirements For Companies Affected By Covid-19
Nasdaq has provided additional relief to listed companies through temporary rule 5636T easing shareholder approval require...
Covid-19 Disclosures – Not Just Speculation Anymore
Now that the market can review and dissect two quarters of Covid-related disclosures and reporting companies are gearing up for thir...
SEC Proposed Rule Changes For Exempt Offerings – Part 5
On March 4, 2020, the SEC published proposed rule changes to harmonize, simplify and improve the exempt offering framework. Th...
SEC Statements On Capital Markets Amid Covid-19
On June 25, 2020, SEC Chair Jay Clayton gave testimony before the Investor Protection, Entrepreneurship and Capital M...
Proposed 2021 U.S. Budget
In February, the Office of Management and Budget released the proposed fiscal 2021 United States government budget. The b...