Michael Mason

Michael Mason

Katten Muchin Rosenman LLP

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SEC Division of Corporation Finance Issues C&DIs Relating to Accredited Investor Verification Methods

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

7/15/2014 - Accredited Investors Investors JOBS Act Regulation D Rule 506 Offerings SEC Securities Act of 1933

Corporate and Financial Weekly Digest - Volume IX, Issue 27

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 FINRA General Solicitation Hedge Funds Insider Trading Investment Adviser Proxy Advisors Proxy Voting Guidelines SEC Verification Requirements

SEC Issues Statement on the Effect of the Recent US Court of Appeals Decision on the Conflict Minerals Rule

On April 29, Keith Higgins, the Director of the Securities and Exchange Commission’s Division of Corporation Finance, issued a public statement offering guidance on companies’ compliance with the conflict minerals rule in...more

5/6/2014 - Conflict Mineral Rules First Amendment Manufacturers SEC

Corporate and Financial Weekly Digest - Volume IX, Issue 18

In this issue: - SEC Issues Statement on the Effect of the Recent US Court of Appeals Decision on the Conflict Minerals Rule - CFTC Extends Relief From Oral Communication Recording Requirement - CFTC...more

5/5/2014 - CFTC Conflict Mineral Rules Corporate Sales Transactions Designated Contract Market No-Action Letters Reporting Requirements SEC SEFs

SEC Division of Corporation Finance Issues Five Additional C&DIs Relating to “Bad Actor” Rule

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

1/14/2014 - Bad Actors Compliance JOBS Act Regulation D Rule 506 Offerings SEC Securities Act of 1933

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