SEC Fall 2019 Regulatory Agenda
In late 2019, the SEC published its latest version of its semiannual regulatory agenda and plans for rulemaking with the U.S. Office...
Home 2020 (Page 5)
SEC Small Business Advocate Releases First Annual Report
The SEC’s Office of Small Business Advocate launched in January 2019 after being created by Congress pursuant to the Small Business...
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Disclosures Related To COVID-19 – SEC Updates
Last week the SEC Office of the Chief Accountant (OCA) made a public statement on the importance of high-quality financial repo...
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SEC Publishes FAQ On COVID-19 Effect On S-3 Registration Statements
The SEC has issued FAQ on Covid-19 issues, including the impact on S-3 shelf registration statements. The SEC issued 4 questio...
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Disclosures Related To Covid-19 – What Investors Want To Know
’ve written several times about the need for Covid-19 disclosures including public statements by Chair Clayton and William...
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Nasdaq Extends Direct Listings
The Nasdaq Stock Market currently has three tiers of listed companies: (1) The Nasdaq Global Select Market, (2) The N...
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SEC Spring 2020 Regulatory Agenda
In July 2020, the SEC published its latest version of its semiannual regulatory agenda and plans for rulemaking ...
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SEC Final Amendments On Disclosures For Registered Debt Offerings
Writing a blog once a week during a time when almost daily events are publish-worthy means that some topics will be delayed, at leas...
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SEC Adopts Amendments To Management Discussion And Analysis
It has been a very busy year for SEC rule making, guidance, executive actions and all matters capital markets. Continuing its ongoi...
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SEC Proposed Rule Changes for Exempt Offerings – Part 3
On March 4, 2020, the SEC published proposed rule changes to harmonize, simplify and improve the exempt offering framework...
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