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SEC Guidance

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December 17, 2013

SEC Guidance on Rules Disqualifying Bad Actors from Participating in Rule 506 Offerings

October 1, 2013

SEC has Modified Policies on Offerings by Shell Companies

September 3, 2013

Will FINRA Rule Changes Related to Private Placement Further Deter Broker Dealers From Placing the Securities of Small Businesses?

August 27, 2013

The SEC has Issued Proposed Rules Amending Regulation D, Form D and Rule 156 – Part II

August 20, 2013

The SEC has Issued Proposed Rules Amending Regulation D, Form D and Rule 156 – Part I

August 15, 2013

SEC Issued Risk Alert on Options Trading Used to Evade Short Sale Requirements

SEC has Finalized Rules Disqualifying Felons and Other “Bad Actors” from Rule 506 Offerings

SEC Announces it Will Seek an Admission of Fault to Settle Certain Cases

SEC Guidance On Social Media And Websites For Company Announcements And Communications- Part III

SEC Guidance On Social Media And Websites For Company Announcements And Communications- Part II