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Proposal for Tick-Size Pilot Program Submitted to SEC

In response to an order from the Securities and Exchange Commission (SEC) in June, on August 26, 2014, the SEC announced that it had received a proposal from the national securities exchanges and the Financial Industry...more

9/12/2014 - Financial Regulatory Reform FINRA SEC Securities Exchange Act Stocks

Rely Only on This Prospectus . . . Unless We Left Something Out

In a little-noticed part of a December 2013 opinion in the multidistrict Facebook IPO litigation, U.S. District Judge Robert Sweet ruled that plaintiffs could use prospectus language once thought to be a shield against...more

4/25/2014 - Bank of America Disclaimers Facebook IPO Media Merrill Lynch Prospectus Proxy Statements Public Disclosure Rule 10b-5 Securities Exchange Act

SEC Permits General Solicitation but Proposes Significant Impediments to its Use

On July 10, 2013, the Securities and Exchange Commission (SEC) adopted amendments to its safe harbor rule for private placements of securities, Rule 506 of Regulation D under the Securities Act of 1933 (the “Securities Act”)....more

7/26/2013 - Accredited Investors Advertising Bad Actors General Solicitation Marketing Regulation D Rule 144A Rule 506 Offerings Safe Harbors SEC Securities Act of 1933 Verification Requirements

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