SEC Spring 2018 Regulatory Agenda
On May 9, 2018, the SEC posted its latest version of its semiannual regulatory agenda and plans for rulemaking with the U.S. Office...
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The SEC Has Provided Guidance On Ether and Bitcoin, Sort Of
On June 14, 2018, William Hinman, the Director of the SEC Division of Corporation Finance, gave a speech at Yahoo Finance’s All Mark...
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The 2017 SEC Government-Business Forum On Small Business Capital Formation Final Report
The SEC has published the final report and recommendations of the 2017 annual Government-Business Forum on Small Business Capital Fo...
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Online Platforms Trading Cryptocurrencies; Continued Uncertainty In Crypto Space
I have been writing often about the cryptocurrency marketplace and the SEC and other regulators’ statements and concerns about compl...
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Multiple Classes of Stock and the Public Company
In March 2017, Snap Inc. completed its IPO, selling only non-voting Class A common shares to the investing public and beginning an o...
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SEC Continues to Review, And Delay, Crypto Funds
On January 18, 2018, the SEC issued a letter to the Investment Company Institute and the Securities Industry and Financial Markets A...
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OTC Markets Makes Several Regulatory Recommendations
On March 8, 2018, Cromwell Coulson, CEO of OTC Markets Group, made a presentation to the SEC’s Investor Advisory Committee (“IAC”) a...
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Going Public Without An IPO
On April 3, 2018, Spotify made a big board splash by debuting on the NYSE without an IPO. Instead, Spotify filed a resale registrati...
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ABA Comment Letter On Disclosures Under Regulation S-K
In December 2017, the American Bar Association (“ABA”) submitted its fourth comment letter to the SEC related to the financial and b...
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What is a SAFT?
A Simple Agreement for Future Tokens (“SAFT”) is an investment contract originally designed to provide a compliant alternative to an...
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