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...
Home Archive by Category "Uncategorized" (Page 3)
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Regulation By Enforcement
The SEC is well known for, and often criticized for, its practice of regulation by enforcement. In recent years the SEC has been mo...
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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 Fall 2021 Regulatory Agenda
In mid-December, the SEC published its semiannual regulatory agenda and plans for rulemaking. The Unified Agenda of Regulatory and...
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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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SEC ReOpens Comment Period For Pay Versus Performance
On January 27, 2022, the SEC re-opened the comment period on proposed rules under the Dodd-Frank Act requiring disclosure of informa...
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OTC Markets; Rule 144; The SPCC
Small public companies are in trouble and they need help now! Once in a while there is a perfect storm forming that can only result...
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SEC Proposes New Share Repurchase Disclosure Rules
On December 15, 2021, the SEC proposed amendments to Securities Exchange Act Rule 10b-18, which provides issuers and affiliates with...
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