2021 Annual Report of Office of Advocate for Small Business Capital Formation
The Office of the Advocate for Small Business Capital Formation (“Office”) has delivered a report to Congress following the 40th ann...
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Nasdaq Extends Direct Listings
The Nasdaq Stock Market currently has three tiers of listed companies: (1) The Nasdaq Global Select Market, (2) The N...
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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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SEC Spring 2020 Regulatory Agenda
In July 2020, the SEC published its latest version of its semiannual regulatory agenda and plans for rulemaking ...
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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 Will Not Meet Deadline to Remove Ban on General Solicitation and Advertising in Private Offerings and Hedge Funds
The SEC won't make the 90-day deadline to draft rules and enact Title II of the JOBS Act eliminating the ban on advertising and gene...
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Crowdfunding 101
As I recently blogged, the President has signed the Jobs Act including the much anticipated Crowdfunding bill. Crowdfunding is a pr...
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China Based Companies Continue To Face US Capital Market Scrutiny
On March 24, 2021, the SEC adopted interim final amendments to implement the congressionally mandated submission and disclosure requ...
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