Examination of Rule 144 and Potential Interpretations
Corporate compliance, federal securities regulations and SEC reporting requirements are highly technical and always changing. Accord...
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SEC Grapples With Crowdfunding Rulemaking
On April 5, 2012 President Obama signed the JOBS Act into law. The SEC’s Rulemaking Duty Some of the rules went into effect immed...
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SEC Proposed Rule Changes For Exempt Offerings – Part 4
On March 4, 2020, the SEC published proposed rule changes to harmonize, simplify and improve the exempt offering framework...
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A COVID IPO
On June 25, 2020, SEC Chair Jay Clayton gave testimony before the Investor Protection, Entrepreneurship and Capital M...
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THE JOBS ACT IMPACT ON HEDGE FUND MARKETING
On April 5, 2012 President Obama signed the Jumpstart Our Business Startups Act (JOBS Act) into law. The other day I blogged about...
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SEC Proposed Amendments To Rule Governing Proxy Advisory Firms
As anticipated on November 5, 2019, the SEC issued two highly controversial rule proposals. The first is to amend Exchange Act...
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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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Dodd-Frank Act Changes Definition Of Accredited Investor Effective Immediately
On July 21, 2010, President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). A...
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