SEC Rule 145 – Registration and Resale Requirements For Securities Issued in Merger, Consolidation or Acquisition
Rule 145 addresses the registration and resale requirements for securities issued in a merger, consolidation, acquisition of assets...
Home Archive by Category "SEC Guidance" (Page 5)
SEC Guidance
59 Posts
- Sort by: Title
SEC Stock Buyback Rules Examined
SEC Rule 10b-18 provides issuers with a safe harbor from liability for market manipulation under Sections 9(a)(2) and 10(b) of the E...
0
319
0
0
SEC Strategic Plan
On June 19, 2018, the SEC published a draft Strategic Plan and requested public comment on the Plan. The Strategic Plan would guide...
0
444
0
0
SEC Suspends Trading for Record Number of Shell Companies
The Securities and Exchange Commission (SEC) today suspended the trading in 379 dormant shell companies. This is the most trading s...
0
484
0
0
SEC’s Financial Disclosure Requirements For Sub-Entities Of Registered Companies
As required by the JOBS Act, in 2013 the SEC launched its Disclosure Effectiveness Initiative and has been examining disclosure requ...
0
443
0
0
Section 3(a)(9) Exchanges Evaluated
Section 3(a)(9) of the Securities Act of 1933, provides an exemption from the registration requirements for “[E]xcept with respect t...
0
359
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
371
0
0