Penny Somer-Greif

Penny Somer-Greif

Ober|Kaler

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Small Business Securities Bulletin: Recent SEC Enforcement Actions Impact Compliance Landscape

There was not a lot of Securities and Exchange Commission (SEC) activity this past Spring and Summer that was directly relevant to most small and medium-sized SEC reporting companies, with the SEC focusing on credit ratings...more

10/17/2014 - Compliance Enforcement Enforcement Actions SEC Small Business

Gimme an "A!" The SEC Proposes Regulation A Offerings for up to $50 Million

As we have noted in prior Bulletins, pursuant to Section 5 of the Securities Act of 1933 (Securities Act) and state securities laws, any offer and sale of a security must be registered with the Securities and Exchange...more

1/29/2014 - Crowdfunding JOBS Act Regulation A SEC Securities Act of 1933

Small Business Securities Bulletin: By Popular Demand - SEC Proposes Crowdfunding Rules

By way of background, pursuant to Section 5 of the Securities Act of 1933 (Securities Act) and state securities laws, any offer and sale of a security must be registered with the Securities and Exchange Commission (SEC) and...more

11/13/2013 - Crowdfunding General Solicitation JOBS Act SEC Securities Act of 1933 Small Business Startups Title III

Small Business Securities Bulletin: The Private Placements They Are A-Changin - General Solicitation, Bad Actor Prohibitions and...

By way of background, pursuant to Section 5 of the Securities Act of 1933 (Securities Act) and state securities laws, any offer and sale of a security must be registered with the Securities and Exchange Commission (SEC) and...more

8/8/2013 - Bad Actors Dodd-Frank General Solicitation JOBS Act Private Placements Rule 506 Offerings SEC

Small Business Securities Bulletin: Regulation FD and Social Media

As we discussed in our February Bulletin, late last year Netflix and its CEO, Reed Hastings, each received a notice from the SEC Staff indicating that the Staff intended to recommend to the SEC that it institute proceedings...more

6/10/2013 - Facebook Netflix Public Disclosure Reed Hastings Regulation FD SEC Social Media

Small Business Securities Bulletin: Updated COSO Internal Control Framework

As many of our readers are well aware, SEC reporting companies are required to maintain internal control over financial reporting to ensure accurate financial statements, and to evaluate the effectiveness of the internal...more

6/6/2013 - COSO Documentation Internal Controls SEC Small Business

Small Business Securities Bulletin - Smaller Reporting Companies Become Subject to Say-on-Pay in 2013; New Iran/Terrorism...

A periodic bulletin keeping small businesses informed about current developments in securities law and related matters. For the first time, smaller reporting companies are subject, in 2013, to the stockholder advisory...more

2/25/2013 - Anti-Terrorism Act Disclosure Requirements Executive Compensation Iran Threat Reduction and Syria Human Rights Act Proxy Statements Reporting Requirements Say-on-Pay

Small Business Securities Bulletin - SEC Approves Nasdaq Rule Addressing Compensation Committees, Consultants

A periodic bulletin keeping small businesses informed about current developments in securities law and related matters. Final Nasdaq Rule - In our October 2012 Bulletin, we discussed The NASDAQ Stock Exchange LLC’s...more

2/22/2013 - Certificates of Compliance Compensation Committee Compensation Consultant Compliance Conflicts of Interest Directors Dodd-Frank Executive Compensation Independence Rules Listing Standards Nasdaq SEC

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