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...
Home Archive by Category "SEC Guidance" (Page 5)
SEC Guidance
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Crowdfunding Act – What about state securities laws?
On April 5, 2012 President Obama signed the JOBS Act into law. Part of the JOBS Act is the Crowdfunding Act, the full title of which...
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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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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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Registering Convertible Securities
Many clients seek to register convertible securities, such as convertible debentures, warrants, options or convertible preferred sto...
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