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...
Home Archive by Category "Smaller Reporting Company"
Smaller Reporting Company
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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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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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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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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 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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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’s Financial Disclosure Requirements For Sub-Entities Of Registered Companies
As required by the JOBS Act, in 2013 the SEC launched its Disclosure Effectiveness Initiative and has been examining disclosure requ...
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