SEC Issues White Paper On Penny Stock Risks
On December 16, 2016, the SEC announced several new settled enforcement proceedings against market participants including issuers, a...
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What Does The SEC Do And What Is Its Purpose?
As I write about the myriad of constantly changing and progressing securities law-related policies, rules, regulations, guidance and...
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House Passes Creating Financial Prosperity For Business And Investors Act
ABA Journal’s 10th Annual Blawg 100 —————————————̵...
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SEC Issues New C&DI On Abbreviated Debt Tender And Debt Exchange Offers
ABA Journal’s 10th Annual Blawg 100 —————————————̵...
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The SEC Has Issued New C&DI Guidance On Regulation A+
On November 17, 2016, the SEC Division of Corporation Finance issued three new Compliance and Disclosure Interpretations (C&a...
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SEC Issues New C&DI Clarifying The Use Of Form S-3 By Smaller Reporting Companies; The Baby Shelf Rule
The SEC has been issuing a slew of new Compliance and Disclosure Interpretations (“C&DI”) on numerous topics in the past few mon...
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SEC Issues Guidance On Integration With A 506(c) Offering
On November 17, 2016, the SEC Division of Corporation Finance issued a new Compliance and Disclosure Interpretations (C&DI) rela...
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SEC Issues Report On Regulation S-K
As required by Section 72003 of the Fixing America’s Surface Transportation Act (the “FAST Act”), on November 23, 2016, the SEC issu...
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SEC Proposes Shortening Trade Settlement
On September 28, 2016, the SEC proposed a rule amendment to shorten the standard broker-initiated trade settlement cycle from three...
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SEC Eliminates The “Tandy Letter”
On October 5, 2016, the SEC Division of Corporation Finance (CorpFin) announced that, effective immediately, it would no longer requ...
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