SEC/CORPORATE -
SEC Announces Proposed Amendments to the Definitions of “Accredited Investor” and “Qualified Institutional Buyer” -
On December 18, the Securities and Exchange Commission voted to propose amendments...more
12/23/2019
/ Accredited Investors ,
Broker-Dealer ,
CFTC ,
Comment Period ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Investment Advisers Act of 1940 ,
Investment Company Act of 1940 ,
Libor ,
New Rules ,
Private Placements ,
Proposed Amendments ,
Proposed Rules ,
Public Comment ,
Qualified Institutional Buyers ,
Resource Extraction ,
Rule 144A ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Security-Based Swaps
SEC/CORPORATE -
New SEC Rule Expands “Test-the-Waters” to All Issuers -
On September 26, the Securities and Exchange Commission adopted a new rule to allow all issuers, not just emerging growth companies, to utilize...more
9/30/2019
/ Accredited Investors ,
Emerging Growth Companies ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Institutional Investors ,
Proposed Rules ,
Qualified Institutional Buyers ,
Regulation FD ,
Securities and Exchange Commission (SEC) ,
Testing-the-Waters Communications ,
UK Brexit
The Securities and Exchange Commission’s Advisory Committee on Small and Emerging Companies met on March 4 to discuss various topics related to facilitating the secondary market for trading securities of small and emerging...more
The Securities and Exchange Commission announced that its Advisory Committee on Small and Emerging Companies (Committee) will hold a public meeting on February 17 to vote on recommendations to the SEC regarding the definition...more
In this issue:
- SEC Advisory Committee on Small and Emerging Companies to Discuss “Accredited Investor” Definition
- Glass Lewis Enhances its Pay-for-Performance and Equity Plan Models
- SEC Issues New...more
2/9/2015
/ Accredited Investors ,
CBOE ,
Cybersecurity ,
Emerging Growth Companies ,
Enforcement Actions ,
Equity Plans ,
European Securities and Markets Authority (ESMA) ,
Exchange Offer ,
Federal Reserve ,
Financial Industry Regulatory Authority (FINRA) ,
Glass Lewis ,
Pay-for-Performance ,
Ponzi Scheme ,
Private Student Loans ,
Proposed Amendments ,
Securities and Exchange Commission (SEC) ,
Small Business ,
Tender Offers
On July 3, the Securities and Exchange Commission’s Division of Corporation Finance issued six new Compliance and Disclosure Interpretations (C&DIs) with respect to determination of accredited investor status and, in...more
In this issue:
- SEC Publishes Guidance for Investment Advisers and Proxy Advisory Firms Regarding Proxy Voting and Solicitation
- SEC Division of Corporation Finance Issues C&DIs Relating to Accredited Investor...more
7/14/2014
/ Accredited Investors ,
Audits ,
C&DIs ,
Exchange-Traded Products ,
Financial Industry Regulatory Authority (FINRA) ,
General Solicitation ,
Hedge Funds ,
Insider Trading ,
Investment Adviser ,
Proxy Advisors ,
Proxy Voting Guidelines ,
Securities and Exchange Commission (SEC) ,
Verification Requirements
On November 14, Securities and Exchange Commission Chair Mary Jo White delivered a letter to Representative Scott Garrett, Chairman of the House of Representatives Subcommittee on Capital Markets and Government-Sponsored...more