On September 23, the Securities and Exchange Commission Advisory Committee on Small and Emerging Companies (Advisory Committee) met to discuss, and submit to the SEC, recommendations regarding (1) public company disclosure...more
On August 6, the Staff of the Division of Corporate Finance of the Securities and Exchange Commission (Staff) released new Compliance and Disclosure Interpretations (C&DIs) relating to “general solicitation” under Rule 502(c)...more
SEC Division of Corporate Finance Issues New CD&Is Relating to General Solicitation and Regulation D -
On August 6, the Staff of the Division of Corporate Finance of the Securities and Exchange Commission (Staff)...more
8/17/2015
/ Banking Sector ,
Broker-Dealer ,
CD&I ,
CFTC ,
Derivatives ,
EFTA ,
EU ,
Exemptive Relief ,
Federal Reserve ,
General Solicitation ,
Major Swap Participants ,
Regulation D ,
Securities and Exchange Commission (SEC) ,
Shadow Banking ,
Small Business ,
Small Business Enterprise and Employment Act ,
UK
The Securities and Exchange Commission recently published its agenda with respect to upcoming rulemaking, including rulemaking contemplated by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) and...more
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
On January 3, the Securities and Exchange Commission’s Division of Corporation Finance issued five new Compliance and Disclosure Interpretations (C&DIs) with respect to Rule 506 under the Securities Act of 1933 (Securities...more
On December 4, the Securities and Exchange Commission’s Division of Corporation Finance issued 14 new Compliance and Disclosure Interpretations (C&DIs) with respect to Rule 506 under the Securities Act of 1933. These C&DIs...more
On July 10, the Securities and Exchange Commission adopted certain new rules and proposed others applicable to certain securities offerings that are exempt from registration under the Securities Act of 1933 (Securities Act). ...more