Law Blog Tag: SEC Cracks Down On Failure To File 8-K For Financing Activities; An Overview Of Form 8-K

SEC Cracks Down On Failure To File 8-K For Financing Activities; An Overview Of Form 8-K

ABA Journal’s 10th Annual Blawg 100 —————————————————————————————————— Introduction and Background On September 26, 2016, and again on the 27th, the SEC brought enforcement actions against issuers for the failure to file 8-K’s associated with corporate finance transactions and in particular PIPE transactions involving the issuance of convertible debt, preferred equity, warrants and similar instruments. Prior Read the full article…