Law Blog Tag: Form 8-K
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 months. I will cover each of these new C&DI in a series of blogs starting with one C&DI that clarifies the availability of Form S-3 for the registration of securities by companies with a Read the full article…
SEC Small Business Advisory Committee Public Company Disclosure Recommendations
October 27, 2015 in Form 10-K, Form 10-Q, Form 8-K, Regulation S-K, Rule 144, Schedule 13D, Schedule 13G, Schedule 14A, SEC, SEC Advisory Committee, Section 16, Uncategorized
SEC Has Adopted Final Pay Ratio Disclosure Rules
September 08, 2015 in Pay Ratio Disclosure Rules, SEC, Securities Attorney, Securities Attorneys, Uncategorized
Will the Disclosure Modernization and Simplification Act of 2014 Simplify Reporting Requirements for ECG’s and Smaller Reporting Companies?
December 23, 2014 in Form 10, Form 10-K, Form 10-Q, Form 8-K, Regulation S-K, Rule 144, Rule 144A, Schedule 14C, Smaller Reporting Company, Uncategorized
CEO and CFO Certifications for Forms 10-Q and 10-K
August 26, 2014 in CEO/CFO Certification Requirements, Form 10-K, Form 10-Q, Form 8-K, Sarbanes-Oxley Act of 2002, Section 15(d), Uncategorized
The Sale of Unregistered Securities Must Satisfy Form 8-K Filing Requirements In a 3(a)(10) Transaction
August 05, 2014 in Form 8-K, OTCBB, Rule 144, Section 15(d), Section 3(a)(10), Small Cap Market, Uncategorized
Say-On-Pay for Smaller Reporting Companies
May 06, 2014 in Dodd-Frank Act, Form 8-K, JOBS ACT, Proxy Statement, SEC Schedule 14A, Small Cap Market, Smaller Reporting Company, Uncategorized