Home Archive by Category "Securities Attorneys" (Page 10)
Securities Attorneys
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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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Securities Attorneys Must Self-Regulate to Avoid Potential Insider Trading Pitfalls
Attorneys who accept stock as compensation from public companies need to be aware of a vigilant regarding their insider trading obli...
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CFIRA Submits Crowdfunding Letter to SEC
The CFIRA (Crowdfund Intermediaries Regulatory Advocates) was established by crowdfunding industry professionals for the purpose of...
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At-The-Market Offerings
Anyone that reads the trade journals knows that at-the-market offerings, or ATM’s as they are now known, have recently gained in pop...
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SEC Announces Enforcement Results For Fiscal Year-End 2016
On October 11, 2016, the SEC announced its enforcement results for fiscal year-end September 30, 2016 (FYE 2016). In FYE 2016 the S...
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House Subcommittee Demands Explanation of SEC’s Delayed JOBS Act Rulemaking
Title II of the JOBS Act provides that, within 90 days of the passage of the JOBS Act (i.e. July 5, 2012), the SEC will amend Sectio...
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SEC Approves Revision to FINRA Rule Regarding Broker Dealer FINRA Filing Requirements for Private Placement Offerings
On June 7, 2012 the SEC granted accelerated approval to a FINRA rule change regarding broker dealer FINRA filing requirements for ac...
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