C&DIForm 8-KForm S-3SEC SEC Issues New C&DI Clarifying The Use Of Form S-3 By Smaller Reporting Companies; The Baby Shelf Rule Laura Anthony, Esq.January 17, 2017 The SEC has been issuing a slew of new Compliance and Disclosure Interpretations (“C&DI”) on numerous topics in the past few mon... 02.9K00
Form 8-KPrivate Investment in Public Equity (PIPE)SEC SEC Cracks Down On Failure To File 8-K For Financing Activities; An Overview Of Form 8-K Laura Anthony, Esq.December 13, 2016 December 13, 2016 ABA Journal’s 10th Annual Blawg 100 —————————————̵... 01.8K00
C&DIForm S-8Regulation ARegulation A+Rule 701SEC SEC Amends Rule 701 And Issues A Concept Release On Rule 701 And Form S-8 – Part I Laura Anthony, Esq.August 28, 2018 On May 24, 2018, President Trump signed the Economic Growth, Regulatory Relief and Consumer Protection Act (the “Act”) into law. Sec... 01.3K00
C&DIRegulation ARegulation A+Rule 144Rule 701SECSection 5 SEC Issues New C&DI On Rule 701 Laura Anthony, Esq.November 1, 2016 On June 23, 2016, the SEC issued seven new Compliance and Disclosure Interpretations (“C&DI”) related to Rule 701 of the Securit... 01K00
SEC SEC Publishes Report on Access to Capital and Market Liquidity Laura Anthony, Esq.December 12, 2017 December 13, 2017 On August 8, 2017 the SEC Division of Economic and Risk Analysis (DERA) published a 315-page report describing trends in primary sec... 080600
CrowdfundingIntrastate CrowdfundingIntrastate OfferingRegulation DRule 147Rule 504SECSection 3(a)(11) SEC Modernizes Intrastate Crowdfunding; Amending Rules 147 And 504; Creating New Rule 147A Laura Anthony, Esq.November 29, 2016 On October 26, 2016, the SEC passed new rules to modernize intrastate and regional securities offerings. The final new rules amend R... 074400
Regulation A+SECSmaller Reporting CompanyTest The WatersThe FAST Act SEC Expands Ability To File Confidential Registration Statements Laura Anthony, Esq.July 25, 2017 On June 19, 2017, the SEC announced that the Division of Corporation Finance will permit all companies to submit draft registration... 072900
C&DIRule 506SEC SEC Issues Guidance On Integration With A 506(c) Offering Laura Anthony, Esq.January 10, 2017 On November 17, 2016, the SEC Division of Corporation Finance issued a new Compliance and Disclosure Interpretations (C&DI) rela... 067100
Blank Check CompaniesForm S-1Public ShellReverse MergersSECUncategorized SEC Footnote 32 and Sham S-1 Registration Statements Laura Anthony, Esq.September 29, 2015 064000
Regulation ARegulation A+SEC SEC Issues Additional Guidance on Regulation A+ Laura Anthony, Esq.June 20, 2017 June 26, 2017 On March 31, 2017, the SEC Division of Corporation Finance issued six new Compliance and Disclosure Interpretations (C&DI) to pr... 061400