SEC Cautionary Statement on Audits of Public Companies Operating in China
Eight years following the crash of the Chinese reverse merger boom and a slew of SEC enforcement proceedings, the SEC is once again...
Home Archive by Category "SEC" (Page 2)
Updated Disclosures for Mining Companies
In the 4th quarter of 2018, the SEC finalized amendments to the disclosure requirements for mining companies under the Securities Ac...
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An IPO Without The SEC
On January 23, 2019, biotechnology company Gossamer Bio, Inc., filed an amended S-1 pricing its $230 million initial public offering...
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SEC Solicits Comment On Earnings Releases And Quarterly Reports
On December 18, 2018, the SEC published a request for comment soliciting input on the nature, content, and timing of earnings releas...
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SEC Updates CDI Related to Smaller Reporting Company Definition
On June 28, 2018, the SEC adopted the much-anticipated amendments to the definition of a “smaller reporting company” as contained in...
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Regulation A+ Now Available For Publicly Reporting Companies
On December 19, 2018, the SEC adopted final rules allowing reporting companies to Rely on Regulation A to conduct securities offerin...
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The SEC’s Strategic Hub For Innovation And Financial Technology
Responding to the growing necessity, in mid-October the SEC launched a Strategic Hub for Innovation and Financial Technology (FinHub...
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Proposed Rule Changes To Simplify Registered Debt Offerings
This summer the SEC proposed rule changes to simplify disclosure requirements applicable to registered debt offerings for guarantors...
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SEC Fall 2018 Regulatory Agenda
In October 2018, the SEC posted its latest version of its semiannual regulatory agenda and plans for rulemaking with the U.S. Office...
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Financial Statement Disclosure Relief Under Rule 3-13
Rule 3-13 of Regulation S-X allows a company to request relief from the SEC from the financial statement disclosure requirements if...
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