Marty Dunn

Marty Dunn

Morrison & Foerster LLP

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Regulation A+: Final Rules Offer Important Capital Raising Alternatives

Overview - Yesterday, March 25, 2015, the Securities and Exchange Commission voted unanimously to adopt final rules to implement the rulemaking mandate of Title IV of the JOBS Act by adopting amendments to Regulation...more

3/27/2015 - Final Rules Issuers JOBS Act Regulation A SEC Small Business

SEC Charges Issuers, Corporate Insiders, and Other Significant Investors for Violating Laws Requiring Reporting of Transactions in...

On September 10, 2014, the U.S. Securities and Exchange Commission announced settlements with officers, directors, and significant shareholders for violating federal securities laws requiring information about their...more

9/18/2014 - Directors Enforcement Actions Filing Requirements Insider Trading Officers SEC Securities Exchange Act Settlement Shareholders

SEC Staff Offers Guidance Regarding Investment Advisers and Proxy Advisory Firms

The SEC’s Division of Investment Management and Division of Corporation Finance published joint guidance on June 30, 2014 regarding investment advisers’ responsibilities in voting client proxies, and two exemptions from the...more

7/3/2014 - Investment Adviser Proxies Proxy Advisors Proxy Voting Guidelines SEC

A+ Indeed: The SEC’s Proposed Rules Amending Reg A

Overview - Yesterday, December 18, 2013, the SEC released proposed rules to carry out the rulemaking mandate of Title IV of the JOBS Act. The proposed rules both retain and modernize the current framework of Regulation...more

12/20/2013 - Disclosure Requirements EDGAR Investors JOBS Act Regulation A Reporting Requirements Safe Harbors SEC Securities Act of 1933

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