Law Blog Category: SEC Investor Alert
Multiple Classes of Stock and the Public Company
May 29, 2018 in Classes of Stock, Exchange Traded Funds (ETFs), IPO, Public Company, SEC, SEC Investor Alert
In March 2017, Snap Inc. completed its IPO, selling only non-voting Class A common shares to the investing public and beginning an ongoing discussion of the viability and morality of multiple classes of stock in the public company setting. No other company has gone public with non-voting stock on a U.S. exchange. Although Facebook and Read the full article…
The SEC’s 2017 Enforcement Priorities And Results
January 09, 2018 in SEC, SEC Advisory Committee, SEC Guidance, SEC Investor Alert, SEC Penalties Act, SEC Proxy Rules, SEC Regulations on Crowdfunding, SEC Rules on crowdfunding
No more broken windows! In a series of speeches by various top brass at the SEC followed by the publication of the SEC Enforcement Division 2017 Report on results and priorities, the SEC has confirmed both directly and through its actions that the era of “broken windows” enforcement is over. The broken windows policy was Read the full article…
SEC Issues Investor Alert Warning That Fantasy Stock Trading Websites May Violate Securities Laws
September 15, 2015 in SEC, SEC Guidance, SEC Investor Alert, Securities Attorney, Securities Attorneys, Securities Law Firm, Uncategorized