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...
Home Archive by Category "SEC" (Page 6)
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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SEC Statements On Cybersecurity; An EDGAR Hacking – Part 1
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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Guidance On New Exhibit Rules In SEC Filings
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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SEC Proposes Rules to Modernize and Simplify Disclosures
On October 11, 2017, as part of the ongoing SEC Disclosure Effectiveness Initiative, the SEC published proposed rule amendments to m...
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SEC Chief Accountant Speaks On Initial Coin Offerings ( ICO’s)
On September 11, 2017, the SEC Chief Accountant, Wesley R. Bricker, gave a speech before the AICPA National Conference on Banks &...
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SEC Provides Regulatory Relief To Hurricane Victims
On September 28, 2017, the SEC announced interim final temporary rules (“Exemptive Order”) to provide relief to publicly trading com...
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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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SEC Monitors Impact of Hurricanes On Capital Markets
As I wrote this blog I continued to have no power at my home after one week, though thankfully it has returned by publication date....
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SEC Announces Regulatory Agenda
In July 2017 the SEC posted its latest version of its semi-annual regulatory agenda and plans for rulemaking with the U.S. Office of...
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