House Continues To Push For Reduced Securities Regulation
House Appropriations Bill The House continues its busy activity of passing legislation designed to reduce securities and market regu...
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SEC Whistleblower Awards Pass $100 Million As It Continues To Crack Down On Confidentiality Provisions In Employment Agreements
The SEC has proudly announced that including a $22 million award on August 30, 2016, its whistleblower awards have surpassed $100 mi...
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SEC Issues Proposed Amendments To Item 601 Of Regulation S-K Related To Exhibits
On August 31, 2016, the SEC issued proposed amendments to Item 601 of Regulation S-K to require hyperlinks to exhibits in filings ma...
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SEC Requests Comment On Changes To Subpart 400 To Regulation S-K
On August 25, 2016, the SEC requested public comment on possible changes to the disclosure requirements in Subpart 400 of Regulation...
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FinCEN Updates Due Diligence Rules
On May 11, 2016, the Financial Crimes Enforcement Network (“FinCEN”) issued new final rules under the Bank Secrecy Act requiring fin...
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DTC Again Proposes Procedures For Issuers Subject To Chills And Locks
On June 3, 2016, the DTC filed a new set of proposed rules to specify procedures available to issuers when the DTC imposes or intend...
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Smaller Reporting Companies vs. Emerging Growth Companies
The topic of reporting requirements and distinctions between various categories of reporting companies has been prevalent over the p...
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SEC Continues Efforts To Prevent Microcap Fraud
As I’ve written about numerous times in the past, a primary agenda of the SEC and FINRA is to prevent small- and micro-cap fraud. On...
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SEC Issues Proposed Regulation S-K And S-X Amendments
On July 13, 2016, the SEC issued a 318-page proposed rule change on Regulation S-K and Regulation S-X to amend disclosures that are...
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