News & Analysis as of

Registration Securities and Exchange Commission (SEC) Reporting Requirements

Pillsbury Winthrop Shaw Pittman LLP

Going Dark: Deregistration in the COVID-19 Era

Economic uncertainty is driving some public companies to weigh the advantages of exiting the SEC disclosure regime by deregistering, or “going dark.” Public companies affected by market conditions and overwhelmed by the...more

Stinson - Corporate & Securities Law Blog

SEC Updates Form ADV

The SEC has adopted final rules requiring investment advisers to provide additional information on Form ADV and other matters. The final rules: - require information about an investment adviser’s separately managed...more

Morrison & Foerster LLP

SEC Completes JOBS Act Rulemaking with Amendments to Exchange Act Registration Rules

The SEC recently adopted rules implementing Title V and Title VI of the Jumpstart Our Business Startups Act (the “JOBS Act”) and Title LXXXV of the Fixing America’s Surface Transportation Act (the “FAST Act”). Title V and...more

Stinson - Corporate & Securities Law Blog

SEC Finalizes Rules Implementing JOBS Act and FAST Act Provisions Concerning Exchange Act Registration Thresholds

On May 3, 2016, the SEC adopted final rules regarding reporting obligation thresholds under the Securities Exchange Act of 1934 mandated by the JOBS Act and the securities provisions of the FAST Act. The rules become...more

Orrick - Finance 20/20

SEC Proposes Amendments to Implement JOBS Act Mandate for Exchange Act Registration Requirements

Orrick - Finance 20/20 on

As mandated by the Jumpstart Our Business Startups Act (JOBS Act), on December 17 the Securities and Exchange Commission approved the issuance of proposed amendments to revise the rules related to the thresholds for...more

Akin Gump Strauss Hauer & Feld LLP

SEC Proposes Rules for Regulation A+

Regulation A currently permits issuers to conduct a limited-scale public offering and subjects issuers that use it to a lighter compliance burden as compared with larger public offerings. However, because of the costs of...more

Broker-Dealer Compliance + Regulation

SEC Staff Elaborates on Venture Capital Adviser Exemption

The SEC’s Division of Investment Management provided advisers to venture capital funds with guidance on fund structures that do not jeopardize an adviser’s ability to rely on the exemption from registration provided by...more

Broker-Dealer Compliance + Regulation

House Passes Bill to Restore Registration Exemption for Private Equity Fund Advisers

The United States House of Representatives passed a bill on December 4, 2013, that would restore an exemption from registration to advisers of certain private equity funds that limit leverage, an attempt to undo another...more

Skadden, Arps, Slate, Meagher & Flom LLP

Corporate Finance Alert: Financial Statement Requirements for a Business Acquired or to Be Acquired — What You Need to Know

Significant levels of accumulated cash have well-positioned many companies to pursue merger and acquisition activity. Potential acquirors and other transaction participants should be aware, in advance of entering into an...more

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