SEC Final Rule Changes For Exempt Offerings – Part 1
On November 2, 2020, the SEC adopted final rule changes to harmonize, simplify and improve the exempt offering framework. The SEC h...
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Audit Committees – NYSE American
Like Nasdaq, I’ve written several times about the NYSE American listing requirements including the general listing requirements (see...
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SEC Amendments To Rules Governing Proxy Advisory Firms
In a year of numerous regulatory amendments and proposals, Covid, newsworthy capital markets events, and endless related topics, and...
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Finders – Part 2
Following the SEC’s proposed conditional exemption for finders (see HERE), the topic of finders has been front and center. New York...
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SEC Modernizes Auditor Independence Rules
On October 16, 2020, the SEC adopted amendments to codify and modernize certain aspects of the auditor independence framework. The...
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SEC Proposes Amendments To Rule 144
I’ve been at this for a long time and although some things do not change, the securities industry has been a roller coaster of chang...
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Intellectual Property And Technology Risks – International Business Operations
In December 2019, the SEC Division of Corporation Finance issued CF Disclosure Guidance: Topic No. 8 providing guidance related to t...
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OTCQB And OTCQX Rule Changes
Effective October 1, 2020, the OTCQB and OTCQX tiers of OTC Markets have instituted amendments to their rules, including an increase...
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SEC Adopts Amendments To Management Discussion And Analysis
It has been a very busy year for SEC rule making, guidance, executive actions and all matters capital markets. Continuing its ongoi...
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Updated Guidance On Confidential Treatment In SEC filings
In March 2019, the SEC adopted amendments to Regulation S-K as required by the Fixing America’s Surface Transportation Act (“FAST Ac...
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