SEC Proposed Rule Changes For Exempt Offerings – Part 1
On March 4, 2020, the SEC published proposed rule changes to harmonize, simplify and improve the exempt offering framework...
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SEC Investor Advisory Committee Meeting
On November 7, 2019, the SEC Investor Advisory Committee held a meeting on the topics of (i) whether investors use environ...
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Division of Enforcement 2019 Annual Report
As my firm does not practice in the enforcement arena, it is not an area I always write about, but this year I found a few trends th...
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SEC Proposed Rule Changes for Exempt Offerings – Part 2
On March 4, 2020, the SEC published proposed rule changes to harmonize, simplify and improve the exempt offering framework. Th...
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Disclosures Related To COVID-19
The SEC has been reiterating the need for robust disclosures related to the impact of COVID-19 on publicly reporting compa...
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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 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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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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SEC Proposes Amendments To MD&A Disclosures
Continuing its disclosure effectiveness initiative, on January 30, 2020, the SEC proposed amendments to Management’s Discussion &...
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