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...
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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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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...
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Climate Disclosure Guidance
Ahead of the imminent publication of updated climate disclosure rules, the SEC has published a sample comment letter providing compa...
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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...
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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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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...
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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...
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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...
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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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