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SEC Chair Gary Gensler Testifies To Congress
On September 14, 2021, SEC Chairman Gary Gensler gave testimony to the U.S. Senate Committee on Banking, Housing and Urban Affairs h...
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Back To Basics – IPO Or Not To IPO?
Initial Public Offerings (IPO’s) are on the rise once again. I have potential clients calling me daily interested in going public 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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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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Disclosures Related To Covid-19 – What Investors Want To Know
’ve written several times about the need for Covid-19 disclosures including public statements by Chair Clayton and William...
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SEC Final Amendments On Disclosures For Registered Debt Offerings
Writing a blog once a week during a time when almost daily events are publish-worthy means that some topics will be delayed, at leas...
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