Beginning December 3, 2012, FINRA members will have to file with FINRA any offering documents used to conduct any private offering in which the member acts as placement agent unless there is an available exemption…more
On September 25, 2012, the NYSE and Nasdaq proposed amendments to their corporate governance listing standards relating to the independence, authority and responsibilities of compensation committees of listed issuers, as…more
On August 29, 2012, the SEC proposed rules that would permit general solicitation in certain private offerings conducted under both Rule 506 and Rule 144A under the Securities Act. This legal update provides a detailed summary…more
This profile may constitute attorney advertising. Prior results do not guarantee a similar outcome. Any correspondence with this profile holder does not constitute a client/attorney relationship. Neither the content on this profile nor transmissions between you and the profile holder through this profile are intended to provide legal or other advice or to create an attorney-client relationship.