SEC Announces Examination Priorities For 2017
On January 12, 2017, the SEC announced its Office of Compliance Inspections and Examinations (OCIE) priorities for 2017. The OCIE ex...
Home Archive by Category "SEC" (Page 9)
The SEC Has Proposed The Use Of Universal Proxy Cards
The SEC has seen a huge exodus of key officials and employees since the recent change in administration, and the ultimate effect of...
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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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House Passes Creating Financial Prosperity For Business And Investors Act
ABA Journal’s 10th Annual Blawg 100 —————————————̵...
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SEC Issues New C&DI On Abbreviated Debt Tender And Debt Exchange Offers
ABA Journal’s 10th Annual Blawg 100 —————————————̵...
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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...
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SEC Issues New C&DI Clarifying The Use Of Form S-3 By Smaller Reporting Companies; The Baby Shelf Rule
The SEC has been issuing a slew of new Compliance and Disclosure Interpretations (“C&DI”) on numerous topics in the past few mon...
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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 Issues Report On Regulation S-K
As required by Section 72003 of the Fixing America’s Surface Transportation Act (the “FAST Act”), on November 23, 2016, the SEC issu...
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SEC Proposes Shortening Trade Settlement
On September 28, 2016, the SEC proposed a rule amendment to shorten the standard broker-initiated trade settlement cycle from three...
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