Michael Campoli

FINRA Piles It On: Private Placements to Wealthy Individuals Trigger FINRA Filing Requirements

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
| Securities Law

NYSE and Nasdaq Propose Enhanced Compensation Committee Listing Standards

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
| Securities Law

The Path Opens for Advertising in Rule 506 and Rule 144A Offerings

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
| Securities Law
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