CFIRA Submits Crowdfunding Letter to SEC
The CFIRA (Crowdfund Intermediaries Regulatory Advocates) was established by crowdfunding industry professionals for the purpose of...
Home Archive by Category "SEC Guidance" (Page 6)
SEC Guidance
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New FINRA Requirements for Corporate Actions Require More Thorough Documentation on Behalf of Issuers
Corporate compliance, federal securities regulations and SEC reporting requirements are highly technical and always changing. Accord...
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Transparency in the Financial Markets and the Materiality Standards
The disclosure requirements at the heart of the federal securities laws involve a delicate and complex balancing act. Too little in...
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Responsibilities of Independent Directors Increases in Response to Sarbanes Oxley
Serving as an independent director carries serious obligations and responsibilities. Following the passage of the Sarbanes Oxley...
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SEC Grapples With Crowdfunding Rulemaking
On April 5, 2012 President Obama signed the JOBS Act into law. The SEC’s Rulemaking Duty Some of the rules went into effect immed...
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Crowdfunding Intermediaries – SEC Issues Guidance
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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