Home Archive by Category "SEC" (Page 10)
SEC Proposes Expanding Testing The Waters For All Companies
As anticipated, on February 19, 2019 the SEC voted to propose an expansion of the ability to “test the waters” prior to the effectiv...
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SEC Proposes Rules to Modernize and Simplify Disclosures
On October 11, 2017, as part of the ongoing SEC Disclosure Effectiveness Initiative, the SEC published proposed rule amendments to m...
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SEC Proposes Shortening Trade Settlement
On September 28, 2016, the SEC proposed a rule amendment to shorten the standard broker-initiated trade settlement cycle from three...
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SEC Provides Regulatory Relief To Hurricane Victims
On September 28, 2017, the SEC announced interim final temporary rules (“Exemptive Order”) to provide relief to publicly trading com...
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SEC Publishes Report on Access to Capital and Market Liquidity
On August 8, 2017 the SEC Division of Economic and Risk Analysis (DERA) published a 315-page report describing trends in primary sec...
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