Home Archive by Category "SEC" (Page 7)
SEC Continues Efforts To Prevent Microcap Fraud
As I’ve written about numerous times in the past, a primary agenda of the SEC and FINRA is to prevent small- and micro-cap fraud. On...
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SEC Continues to Review, And Delay, Crypto Funds
On January 18, 2018, the SEC issued a letter to the Investment Company Institute and the Securities Industry and Financial Markets A...
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SEC Cracks Down On Failure To File 8-K For Financing Activities; An Overview Of Form 8-K
ABA Journal’s 10th Annual Blawg 100 —————————————̵...
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SEC Eliminates The “Tandy Letter”
On October 5, 2016, the SEC Division of Corporation Finance (CorpFin) announced that, effective immediately, it would no longer requ...
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SEC Establishes Analysis Matrix for Digital Assets
On April 3, 2019, the SEC’s Division of Corporation Finance published a “Framework for Investment Contract Analysis of Digital Asset...
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SEC Expands Ability To File Confidential Registration Statements
On June 19, 2017, the SEC announced that the Division of Corporation Finance will permit all companies to submit draft registration...
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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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