SEC Has Approved FINRA’s New Category Of Broker-Dealer For “Capital Acquisition Brokers”
On August 18, 2016, the SEC approved FINRA’s rules implementing a new category of broker-dealer called “Capital Acquisition Brokers”...
Home Archive by Category "SEC" (Page 12)
SEC Statements On Cybersecurity – Part 2
On September 20, 2017, SEC Chair Jay Clayton issued a statement on cybersecurity that included the astonishing revelation that the S...
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The Acting SEC Chair Has Trimmed Enforcement’s Subpoena Power
In early February 2017, acting SEC Chair Michael Piwowar revoked the subpoena authority from approximately 20 senior SEC enforcement...
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The 2017 SEC Government-Business Forum On Small Business Capital Formation
On November 30, 2017, the SEC held its annual Government-Business Forum on Small Business Capital Formation (the “Forum”). It will b...
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SEC Adopts Amendments to Simplify Disclosure Requirements
In August the SEC voted to adopt amendments to certain disclosure requirements in Regulations S-K and S-X (the “S-K and S-X Amendmen...
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The SEC Has Proposed The Use Of Universal Proxy Cards
The SEC has seen a huge exodus of key officials and employees since the recent change in administration, and the ultimate effect of...
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SEC Issues Final Rules Requiring Links To Exhibits
On March 1, 2017, the SEC passed a final rule requiring companies to include hyperlinks to exhibits in filings made with the SEC. Th...
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