The United States Securities and Exchange Commission was created in 1934 in response to the Great Stock Market Crash of 1929. The Commission was created to protect investors, ensure fairness in the market, and... more +
The United States Securities and Exchange Commission was created in 1934 in response to the Great Stock Market Crash of 1929. The Commission was created to protect investors, ensure fairness in the market, and encourage capital formation. The Commission is headed by five presidentially-appointed Commissioners who oversee the Commission’s five divisions: Division of Corporation Finance, Division of Trading and Markets, Division of Enforcement, Division of Investment Management, and the Division of Risk, Strategy and Financial Information.
Compliance Advice on SEC’s Market Access Rule from Julie Dixon of Titan Regulation
Lessons Learned from the Parker Drilling DPA and Ralph Lauren NPA
Jaffe Sees 'A Lot' of IPOs in 2013 'Pipeline'
SEC News - Five Year Enforcement Limitation, FCPA Charges for Foreign Nationals, More...
Weekly Brief: Courthouse Violence on the Rise
Corporate Law Report: Workplace Romances, FMLA Changes, California Tax News, and More
Should Wall Street Fear Mary Jo White?
Can Feds Force Companies to Disclose Political Spending?
Corporate Law Report: Cybersecurity, CEO Social Media, New Workplace Laws, Healthcare Reform in 2013
The Eli Lilly FCPA Enforcement Action-Lessons Learned
Corporate Law Report: Mobile App Privacy, HR & the FCPA, Insider Trading, First Sale Doctrine, More
Mike Koehler on FCPA Enforcement
The New SEC Conflict Minerals Rule: Overcoming the Challenges of Compliance
Crowd funding under the JOBS Act
First SEC whistleblower award-6 lessons learned
Crowdfunding: What Is It? Who Will Use It? Is It Worth the Hype?—Fox Rothschild’s James Saksa
Former SEC Chairman David Ruder Discusses the Dodd-Frank Timeline, Volcker Rule & Cost Benefit Rules (Part 2 of 2)
Rodge Cohen: Dodd-Frank Fixes "Too Big To Fail"
In this issue: - SEC Advisory Committee on Small and Emerging Companies Makes Recommendations - SEC Provides Guidance Regarding Social Media and Regulation Fair Disclosure (Regulation FD) - SEC Amends...more
Mar. 26 (Bloomberg) -- Marc Jaffe, co-chair of the Global Capital Markets Practice Group at Latham & Watkins LLP, talks with Bloomberg Law's Spencer Mazyck about the global outlook for the 2013 IPO market. Jaffe, in this...more
The Jumpstart of Business Startups Act (JOBS Act) of 2012 has made it easier for Emerging Growth Companies to raise equity and debt with less SEC regulations and financial disclosures. For example Reg A+ allows you to raise...more
On October 29, 2012, the SEC announced that it had initiated proceedings to determine whether to issue a stop order to prevent sales of shares in a development stage company that filed a registration statement on Form S-1,...more
On October 17, 2012, the SEC approved changes to NASD Rule 2711, as administered by the Financial Industry Regulatory Authority (FINRA), and NYSE Rule 472, to bring both rules into compliance with the JOBS Act mandate to...more
Background - Earlier this year, President Obama signed the Jumpstart Our Business Startups Act (commonly known as the JOBS Act) into law. As the somewhat repetitive name implies, the JOBS Act’s ultimate goal is to spur job...more
The Financial Industry Regulatory Authority, Inc. (FINRA) (f/k/a National Association of Securities Dealers, Inc. (NASD)) filed with the SEC proposed rule changes intended to conform to certain requirements of the JOBS Act,...more
The Staff of the Division of Corporation Finance of the U.S. Securities and Exchange Commission (the “SEC”) recently updated its Frequently Asked Questions on Title I of the Jumpstart Our Business Startups Act (“JOBS Act”) to...more
On September 28, the Division of Corporation Finance of the Securities and Exchange Commission published an additional set of frequently asked questions (FAQs) regarding Title I of the Jumpstart Our Business Startups Act...more
Recently the SEC's Division of Corporation Finance posted certain additional JOBS Act-related FAQs. The new FAQs, numbered 42 to 54, address a variety of JOBS Act-related issues. Some of the more notable FAQs in this new...more
The latest batch of Frequently Asked Questions regarding topics of general applicability under Title I of the JOBS Act – questions 42-54 – were released by the SEC on September 28, 2012. Title I of the JOBS Act contains...more
On August 22, 2012, the staff of the Securities and Exchange Commission (SEC) released answers to frequently asked questions (FAQs) about certain research provisions of Title I of the Jumpstart Our Business Startups Act (JOBS...more
The SEC recently released Frequently Asked Questions relating to provisions of the JOBS Act concerning coverage by research analysts of equity offerings by Emerging Growth Companies, or EGCs. An EGC is a company that was not...more
Last week, the Securities and Exchange Commission (“SEC”) issued a set of FAQs clarifying a number of questions and ambiguities regarding the activities of underwriters and research analysts in connection with offerings by...more
Section 106(b) of the JOBS Act requires that the SEC conduct a study examining the transition to trading and quoting securities in one penny increments, also known as decimalization. Among other things the study is to examine...more
On June 28, 2012, the SEC Division of Corporation Finance provided an updated announcement stating that emerging growth companies (EGCs) and foreign private issuers (FPIs) should continue to use the secure email system...more
On April 5, 2012, President Obama signed into law the Jumpstart Our Business Startups Act (the “JOBS Act”). The full formal name for the legislation: “An Act to increase American job creation and economic growth by improving...more
The Jumpstart Our Business Startups Act (the “JOBS Act”) became law in April with a goal of improving access to capital markets and easing compliance burdens for newer and smaller public companies. Among other things, the...more
In This Issue: JOBS Act: Jumpstart Our Business Startups Act; Fracking: Ohio’s New Oil and Gas Boom; 2012 Estate Planning; American Airlines: Who’s Flying the Plane? Labor Law Update; S Corporations; Blow to Method...more
New guidance outlines key rules for the new confidential review option for initial public offerings by emerging growth companies in the United States. The Jumpstart Our Business Startups Act (also known as the JOBS...more
On April 5, 2012, the JOBS Act was signed into law, culminating a bipartisan effort by Congress to ease restrictions on capital raising that have affected and guided companies and investors for decades. The JOBS Act is...more
On April 16, the Division of Corporation Finance of the Securities and Exchange Commission published an additional set of frequently asked questions (FAQs) regarding Title I of the Jumpstart Our Business Startups Act (JOBS...more
On April 5, 2012, after overwhelming bi-partisan support in Congress but criticism from regulators and investor protection groups, President Obama signed into law the Jumpstart Our Business Startups Act (the JOBS Act). The...more
On April 5, 2012, President Obama signed the Jumpstart Our Business Startups (JOBS) Act, enacting it into law. The JOBS Act is intended to make it easier for smaller and earlier stage companies to raise capital and also to...more
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