Regulation A+ Continues To Grow
The new Regulation A/A+, which went into effect on June 19, 2015, is now three years old and continues to develop and gain market ac...
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The Division of Corporation Finance’s Disclosure Review And Comment Process
Those that regularly read my blog know that I sometimes like to go back to basics. This blog will revisit and discuss the SEC’s Divi...
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The SEC’s 2018 Flex Regulatory Agenda
In December 2017, the SEC posted its latest version of its semiannual regulatory agenda and plans for rulemaking with the U.S. Offic...
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The SEC Has Issued New Guidance On Cybersecurity Disclosures
On February 20, 2018, the SEC issued new interpretative guidance on public company disclosures related to cybersecurity risks and in...
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OTC Markets Issues Comment Letters On FINRA Rules 6432 And 5250; The 15c2-11 Rules
January 8, 2018, OTC Markets Group, Inc. (“OTC Markets”) submitted a comment letter to FINRA related to FINRA Rule 6432. Rule 6432...
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The 2017 SEC Government-Business Forum On Small Business Capital Formation
On November 30, 2017, the SEC held its annual Government-Business Forum on Small Business Capital Formation (the “Forum”). It will b...
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The Senate Banking Committee’s Hearing On Cryptocurrencies
On February 6, 2018, the United States Senate Committee on Banking Housing and Urban Affairs (“Banking Committee”) held a hearing on...
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The Treasury Department Report To The President On Capital Markets
In October 2017, the U.S. Department of the Treasury issued a report to President Trump entitled “A Financial System That Creates Ec...
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The CFTC And Cryptocurrencies
The SEC and U.S. Commodity Futures Trading Commission (CFTC) have been actively policing the crypto or virtual currency space. Both...
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The New Auditor Report
In October 2017, the SEC approved a new rule by the Public Company Accounting Oversight Board (PCAOB) requiring significant changes...
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