A Drill Down On Rule 506 Of Regulation D
On June 18, 2019, the SEC issued a 211-page concept release and request for public comment on ways to simplify, harmonize, and impro...
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SPAC Nasdaq Listing Standards
I’ve written quite a bit about SPAC’s recently, but the last time I wrote about SPAC Nasdaq listing requirements, or any attempted c...
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Florida Broker-Dealer Registration Exemption For M&A Brokers
Following the SEC’s lead, effective July 1, 2016, Florida has passed a statutory exemption from the broker-dealer registration requi...
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SEC Denies Expert Market – For Now
As the compliance date for the new 15c2-11 rules looms near, on August 2, 2021, in a very short statement, the SEC shot down any nea...
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Drill Down On NASDAQ Audit Committee Requirements
I’ve written several times about Nasdaq listing requirements including the general listing requirements and the significant listing...
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Non-Fungible Tokens
This one has been on my list for a while and I’m finally ready to dive in – non-fungible tokens (NFTs). In July 2017, the world of ...
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Filing Deadlines for Exchange Act Quarterly and Annual Reports
Companies subject to the reporting requirements of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) are required...
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SEC Issues Guidance On Spring-Loaded Compensation Awards
On November 29, 2021, the SEC issued accounting guidance on the recognition and disclosure of “spring-loaded awards” made to executi...
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