SEC Proposes Additional Disclosures For Resource Extraction Companies
In December 2019, the SEC proposed rules that would require resource extraction companies to disclose payments made to for...
Home 2020 (Page 6)
SEC Proposes Amendments To MD&A Disclosures
Continuing its disclosure effectiveness initiative, on January 30, 2020, the SEC proposed amendments to Management’s Discussion &...
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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...
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SEC Proposes Amendments To The Accredited Investor Definition
Four years after issuing its report on the definition of “accredited investors” in December 2015, the SEC has published a proposed r...
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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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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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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 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...
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Small Business Advocate Urges Capital Raising Relief
On March 4, 2020, the SEC published proposed rule changes to harmonize, simplify and improve the exempt offering framework...
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SPAC IPOs A Sign Of Impending M&A Opportunities
The last time I wrote about special purpose acquisition companies (SPACs) in July 2018, I noted that SPACs had been g...
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