The SEC Has Issued New C&DI Guidance On Regulation A+
On November 17, 2016, the SEC Division of Corporation Finance issued three new Compliance and Disclosure Interpretations (C&a...
Home Archive by Category "SEC" (Page 2)
SEC Issues New C&DI On Rule 701
On June 23, 2016, the SEC issued seven new Compliance and Disclosure Interpretations (“C&DI”) related to Rule 701 of the Securit...
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The Under $300 Million Market Cap Class
Depending on whom you ask, a public company with less than $300 million market cap could be considered a micro-cap company, a penny...
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Multiple Classes of Stock and the Public Company
In March 2017, Snap Inc. completed its IPO, selling only non-voting Class A common shares to the investing public and beginning an o...
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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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The SEC Provides Further Guidance On Financial Statement Requirements In Registration Statements
On August 17, 2017, the SEC issued guidance on financial statement requirements for confidential and public registration statement f...
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Intellectual Property And Technology Risks – International Business Operations
In December 2019, the SEC Division of Corporation Finance issued CF Disclosure Guidance: Topic No. 8 providing guidance related to t...
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SEC Issues Guidance On Integration With A 506(c) Offering
On November 17, 2016, the SEC Division of Corporation Finance issued a new Compliance and Disclosure Interpretations (C&DI) rela...
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SEC’s Financial Disclosure Requirements For Sub-Entities Of Registered Companies
As required by the JOBS Act, in 2013 the SEC launched its Disclosure Effectiveness Initiative and has been examining disclosure requ...
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