On October 10, the Securities and Exchange Commission (SEC or the Commission) adopted comprehensive changes to Regulation D-G, which governs beneficial ownership reporting under Section 13(d) of the Securities Exchange Act of...more
11/7/2023
/ Beneficial Owner ,
Compliance ,
Disclosure Requirements ,
EDGAR ,
Filing Deadlines ,
Final Rules ,
Reporting Requirements ,
Schedule 13D ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Transparency
On December 14, the Securities and Exchange Commission (SEC) unanimously adopted amendments to Rule 10b5-1 and related regulations governing "10b5-1 Plans." 10b5-1 Plans enable (1) public company insiders to sell their...more
12/28/2022
/ 10b5-1 Plans ,
Final Rules ,
Insider Trading ,
Proposed Amendments ,
Rule 10b-5 ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Litigation ,
Securities Violations ,
Stock Repurchases
On October 30, the Securities and Exchange Commission adopted “Regulation Crowdfunding,” which consists of final rules that will enable eligible companies to raise up to $1 million in capital in any 12-month period by...more
On March 25, the Securities and Exchange Commission adopted final rules that will expand the exemption from registration under the Securities Act of 1933 provided by Regulation A to include an exemption for up to $50 million...more
In this issue:
- SEC Adopts Final Rules for Regulation A+ Offerings
- FINRA Issues Notice on New Rules and Amendments Relating to Transaction-Based Compensation, Membership and Sanctions
- FINRA Issues...more
3/30/2015
/ Algorithmic Trading ,
Alternative Investment Fund Managers Directive (AIFMD) ,
CFTC ,
Final Rules ,
Financial Industry Regulatory Authority (FINRA) ,
New Guidance ,
Pharmaceutical Industry ,
Regulation A ,
Regulation SHO ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Supervision