SEC Adopts Rules to Amend Regulation S-K
On March 20, 2019 the SEC adopted amendments to Regulation S-K as required by the Fixing America’s Surface Transportation Act (“FAST...
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The 20% Rule- Acquisitions
Nasdaq and the NYSE American both have “20% Rules” requiring listed companies to receive shareholder approval prior to issuing unreg...
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The Under $300 Million Market Cap Class
Depending on whom you ask, a public company with less than $300 million market cap could be considered a micro-cap company, a penny...
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SEC Rules For Disclosure Of Hedging Policies
In December 2018, the SEC approved final rules to require companies to disclose practices or policies regarding the ability of emplo...
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SEC Proposes Expanding Testing The Waters For All Companies
As anticipated, on February 19, 2019 the SEC voted to propose an expansion of the ability to “test the waters” prior to the effectiv...
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NYSE American Compliance Guidance MEMO
In January, NYSE Regulation sent out its yearly Compliance Guidance Memo to NYSE American listed companies. The annual letter update...
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S-3 Eligibility
The ability to use an S-3 registration statement is significant for exchange traded companies. An S-3 allows forward incorporation...
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SEC Cautionary Statement on Audits of Public Companies Operating in China
Eight years following the crash of the Chinese reverse merger boom and a slew of SEC enforcement proceedings, the SEC is once again...
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Updated Disclosures for Mining Companies
In the 4th quarter of 2018, the SEC finalized amendments to the disclosure requirements for mining companies under the Securities Ac...
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An IPO Without The SEC
On January 23, 2019, biotechnology company Gossamer Bio, Inc., filed an amended S-1 pricing its $230 million initial public offering...
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