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...
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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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