SEC Modernizes Auditor Independence Rules
On October 16, 2020, the SEC adopted amendments to codify and modernize certain aspects of the auditor independence framework. The...
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Annual Report of Office of Advocate for Small Business Capital Formation
The Office of the Advocate for Small Business Capital Formation (“Office”) issued its 2020 Annual Report and it breaks down one of t...
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An In-Depth Review of Private Placements Under Section 4(2)
Section 4(2) of the Securities Act of 1933 provides that the registration requirements of Section 5 do not apply to “transactions by...
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Compliance When Conducting Concurrent Private and Public Offerings
The Securities and Exchange Commission’s (SEC) integration guidance in Securities Act Release No. 8828 (August 3, 2007) sets forth a...
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Nasdaq Proposed Rule Changes To Its Discretionary Listing And Continued Listing Standards
On April 21, 2020, the SEC Chairman Jay Clayton and a group of senior SEC and PCAOB officials issued a...
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SEC Re-Visits Executive Compensation Clawback Rules
As expected, on October 14, 2021, the SEC re-opened the comment period on proposed rules on listing standards for the recovery of er...
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