The SEC, FinCEN And CFTC Issue A Joint Statement On Digital Assets
On October 11, 2019 the SEC, FinCEN and CFTC issued a joint statement on activities involving digital assets. Various agencies...
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Incorporation By Reference
During lulls in the very active rule changes and blog-worthy news coming from the SEC and related regulators, it is great to step ba...
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SEC Testifies At House Financial Services Committee Hearing
On September 24, 2019, all five SEC commissioners gave testimony to, and were questioned by, members of the U.S. House of Representa...
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SEC Adopts New Rule To Expand Testing The Waters For All Companies
The SEC has adopted final rules allowing all issuers to test the waters prior to the effectiveness of a registration statement in a...
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SEC Proposes Amendments To 15c2-11
As anticipated, on September 26, 2019, the SEC published proposed amendments to Securities Exchange Act (“Exchange Act”)&n...
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A Drill Down On Rule 506 Of Regulation D
On June 18, 2019, the SEC issued a 211-page concept release and request for public comment on ways to simplify, harmonize, and impro...
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Environmental, Social And Governance– The World Of ESG
Over the past few years, the term “Environmental, Social and Governance” or “ESG” has been both first used and brought into daily us...
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SEC Issues Guidance On Proxy Advisory Firms
On August 29, 2019, the SEC issued anticipated guidance related to the application of the proxy rules to proxy advisory firms. ...
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SEC Proposes Amendments to Accelerated and Large Accelerated Filer Definitions
As promised by SEC Chair Jay Clayton almost a year ago when the SEC amended the definition of a “smaller reporting company” as conta...
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The 20% Rule – Private Placements
Nasdaq and the NYSE American both have rules requiring listed companies to receive shareholder approval prior to issuing t...
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