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...
Home Archive by Category "SEC" (Page 3)
SEC Issues Additional Guidance on Regulation A+
On March 31, 2017, the SEC Division of Corporation Finance issued six new Compliance and Disclosure Interpretations (C&DI) to pr...
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FINRA Proposes New Registration And Examination Rules
On March 8, 2017, the Financial Industry Regulatory Authority (FINRA) filed a proposed rule change with the SEC to adopt amended reg...
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What Does The SEC Do And What Is Its Purpose?
As I write about the myriad of constantly changing and progressing securities law-related policies, rules, regulations, guidance and...
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OTC Markets Group Establishes A Stock Promotion Policy
As OTC Markets Group continues to position itself as a respected venture trading platform, it has adopted a new stock promotion poli...
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SEC Issues Additional C&DI On Use Of Non-GAAP Measures
On April 4, 2018, the SEC issued two new Compliance & Disclosure Interpretations (C&DI) related to the use of non-GAAP finan...
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SEC and NASAA Statements on ICOs and More Enforcement Proceedings
The message from the SEC is very clear: participants in initial coin offerings (ICO’s) and cryptocurrencies in general need to compl...
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