SEC Updates CDI Related to Smaller Reporting Company Definition
On June 28, 2018, the SEC adopted the much-anticipated amendments to the definition of a “smaller reporting company” as contained in...
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Smaller Reporting Company
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SEC Amends Definition of “A Smaller Reporting Company”
On June 28, 2018, the SEC adopted the much-anticipated amendments to the definition of a “smaller reporting company” as contained in...
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SEC Advisory Committee On Small And Emerging Companies Holds Final Meeting
On September 13, 2017, the SEC Advisory Committee on Small and Emerging Companies (the “Advisory Committee”) held its final meeting...
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Emerging Growth Companies Will Start To Grow Up
The first of emerging growth companies (“EGC’s”) will begin losing EGC status as the five-year anniversary of the creation of an EGC...
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The SEC Provides Further Guidance On Financial Statement Requirements In Registration Statements
On August 17, 2017, the SEC issued guidance on financial statement requirements for confidential and public registration statement f...
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SEC Expands Ability To File Confidential Registration Statements
On June 19, 2017, the SEC announced that the Division of Corporation Finance will permit all companies to submit draft registration...
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The Payment Of Finders’ Fees- An Ongoing Discussion
Introduction As a recurring topic, I discuss exemptions to the broker-dealer registration requirements for entities and individuals...
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Financial Choice Act 2.0 Has Made Progress
On June 8, 2017, the U.S. House of Representative passed the Financial Creating Hope and Opportunity for Investors, Consumers and En...
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SEC Requests Comment On Changes To Subpart 400 To Regulation S-K
On August 25, 2016, the SEC requested public comment on possible changes to the disclosure requirements in Subpart 400 of Regulation...
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Smaller Reporting Companies vs. Emerging Growth Companies
The topic of reporting requirements and distinctions between various categories of reporting companies has been prevalent over the p...
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