On November 18, 2016, the Staff of the Securities and Exchange Commission (SEC) issued new Compliance and Disclosure Interpretations (C&DIs) (Questions 162.01 through 162.05) to provide guidance on the Abbreviated Tender or...more
On August 6, 2015, the Staff of the Securities and Exchange Commission’s (SEC) Division of Corporation Finance issued new compliance and disclosure interpretations (C&DI Questions 256.23 through 256.33) regarding the meaning...more
8/31/2015
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Broker-Dealer ,
C&DIs ,
Established Business Relationship ,
General Solicitation ,
Investment Adviser ,
New Guidance ,
No-Action Letters ,
Regulation D ,
Safe Harbors ,
Section 5 ,
Securities and Exchange Commission (SEC) ,
Venture Capital ,
Waiting Periods
On January 23, 2015, the Securities and Exchange Commission (SEC) Staff issued a no-action letter that would allow issuers to conduct tender offers for their nonconvertible debt securities in a period of only five business...more