OTC PINK Companies Now Qualify For Equity Line Financing
Without fanfare, the issuance of guidance, or any other formal notice, the SEC quietly changed its policy related to the filing of a...
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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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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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Digital Asset Securities – Progress For Broker Dealers
In December 2020, the SEC issued a statement and request for comment regarding the custody of digital asset securities by broker-dea...
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SEC Spring 2021 Regulatory Agenda
The first version of the SEC’s semiannual regulatory agenda and plans for rulemaking under the current administration has been publi...
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NYSE Annual Compliance Guidance Memo And Amended Rules
In January, NYSE Regulation sent out its yearly Compliance Guidance Memo to NYSE American listed companies. Although we are already...
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Nasdaq Board Diversity Proposal
Nasdaq has long been a proponent of environmental, social and governance (ESG) disclosures and initiatives, having published a guide...
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SEC Rules Requiring Disclosures for Resource Extraction Companies
As required by the Dodd-Frank Act, in December 2020, the SEC adopted final rules requiring require resource extraction companies to...
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ESG – The Disclosure Debate Continues
The ESG debate continues, including within the SEC and amongst other regulators and industry participants. Firmly in support of ESG...
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A Resolution For SPAC Warrant Accounting
On April 12, 2021, the SEC effectively chilled SPAC activity by announcing that it had examined warrant accounting in several SPACs ...
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