SEC Cracking Down on The Crypto Wild West and Other Digital Asset Updates
After a few years of relative dormancy, the SEC is once again targeting the flourishing cryptocurrency market. On August 3, 2021, S...
Home Archive by Category "Uncategorized" (Page 3)
Uncategorized
289 Posts
- Sort by: Latest
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...
0
264
0
0
OTCQX And OTCQB Rule Changes
In September 2021, the OTCQB and OTCQX tiers of OTC Markets instituted amendments to their rules, to, among other things, align with...
0
369
0
0
Climate Disclosure Guidance
Ahead of the imminent publication of updated climate disclosure rules, the SEC has published a sample comment letter providing compa...
0
328
0
0
A Review of FINRA’s Corporate Finance Rule
As the strongest U.S. IPO market in decades continues unabated, it seems a good time to talk about underwriter’s compensation. FINR...
0
1.6K
0
0
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...
0
319
0
0
Consequences Of Failing To File A Form D
I often get calls from clients or potential clients that have engaged in exempt offerings, have not filed a Form D and are wondering...
0
3.7K
0
0
FINRA Granted Oversight Of OTC Markets In The 211 Process
Clearly not completely pleased with the power bestowed on OTC Markets as part of the amended Rule 15c2-11, on June 9, 2021, FINRA fi...
0
584
0
0
SEC Approves Nasdaq Board Diversity Rule
On August 6, 2021, the SEC approved Nasdaq’s board diversity listing standards proposal. Not surprisingly, the approval vote was di...
0
364
0
0
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...
0
268
0
0