On November 2, 2020, the U.S. Securities and Exchange Commission (the SEC), by a 3 – 2 vote, amended certain rules under the Securities Act of 1933 (the Securities Act) in order to harmonize, simplify, and modernize the...more
11/6/2020
/ Capital Raising ,
Crowdfunding ,
Exemptions ,
Investment ,
Offerings ,
Regulation A ,
Rule 504 ,
Rulemaking Process ,
Safe Harbors ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Testing-the-Waters Communications
The crowdfunding regulations of the Securities and Exchange Commission (SEC) became effective on May 16, 2016, and the agency has issued Compliance and Disclosure Interpretations (C&DIs) providing interpretive guidance on...more
Initiatives by Congress, the Securities and Exchange Commission (SEC), activist shareholders, and federal and state courts from 2015 will reshape public company disclosure and policies, and offer new avenues for private...more
1/21/2016
/ Capital Raising ,
CEOs ,
Clawbacks ,
Corporate Governance ,
Crowdfunding ,
Dodd-Frank ,
Executive Compensation ,
Hedging ,
JOBS Act ,
Pay Ratio ,
Pay-for-Performance ,
Proxy Access ,
Proxy Season ,
Securities and Exchange Commission (SEC) ,
Shareholder Activism ,
Shareholders
On October 30, 2015, the Securities and Exchange Commission (SEC) adopted final rules to implement equity crowdfunding under Title III of the 2012 Jumpstart Our Business Startups Act (JOBS Act). “Regulation Crowdfunding,”...more
On October 30, 2015, in connection with the adoption of the final rules to implement securities based crowdfunding as provided under the JOBS Act, the SEC also proposed amendments to Rule 147 and Rule 504 under the Securities...more