Home Archive by Category "SEC Guidance" (Page 5)
SEC Guidance
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Crowdfunding Act Signed Into Law
On April 5, 2012 President Obama signed the JOBS Act into law. In accordance with the JOBS Act requirement that all crowdfunding pl...
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SEC Issues Guidance on Registration and Deregistration Under Jobs Act
On April 5, 2012 President Obama signed the JOBS Act into law. Some of the rules went into effect immediately, such as the ability...
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The Acting SEC Chair Has Trimmed Enforcement’s Subpoena Power
In early February 2017, acting SEC Chair Michael Piwowar revoked the subpoena authority from approximately 20 senior SEC enforcement...
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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...
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Registering Convertible Securities
Many clients seek to register convertible securities, such as convertible debentures, warrants, options or convertible preferred sto...
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Proper Use of S-8 Registration Statements
A Form S-8 registration statement is popular with small business issuers because it becomes effective immediately upon filing and al...
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