Home Archive by Category "SEC Guidance" (Page 3)
SEC Guidance
59 Posts
- Sort by: Most viewed
Rule 701 – Exemption for Offers and Sales to Employees of Non-Reporting Entities
While the issuance of small numbers of shares as prizes or awards to employees may be made without Securities Act Registration, if s...
0
373
0
0
The SEC’s 2017 Enforcement Priorities And Results
No more broken windows! In a series of speeches by various top brass at the SEC followed by the publication of the SEC Enforcement...
0
373
0
0
Securities Law Update: Intrastate Offerings Section 3(a)(11) and Rule 147 Examined
Section 3(a)(11) of the Securities Act of 1933, as amended (Securities Act) provides an exemption from the registration requirements...
0
369
0
0
The SEC Has Issued New Guidance On Cybersecurity Disclosures
On February 20, 2018, the SEC issued new interpretative guidance on public company disclosures related to cybersecurity risks and in...
0
363
0
0