On November 24, 2020, the Securities and Exchange Commission (“SEC”) proposed amendments to Rule 701 and Form S-8 (the “Proposals”) under the Securities Act of 1933, as amended (the “Securities Act”)....more
On November 19, 2020, the Securities and Exchange Commission (the “SEC”) adopted final rule amendments to modernize, simplify, and enhance Management’s Discussion & Analysis of Financial Condition and Results of Operations...more
On November 2, 2020, the Securities and Exchange Commission (“SEC”) adopted final rules under the Securities Act of 1933 (the “Securities Act”) expanding a number of private placement exemptions. The amendments were adopted...more
11/17/2020
/ Capital Raising ,
Crowdfunding ,
EDGAR ,
Harmonization Rules ,
Investment Opportunities ,
Regulation A ,
Regulation CF ,
Regulation D ,
Rule 504 ,
Rule 701 ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Small Offering Exemptions ,
Testing-the-Waters Communications
On August 26, 2020, for the first time in over 30 years, the Securities and Exchange Commission (the “SEC”) adopted significant amendments to the Regulation S-K disclosure requirements regarding the description of a reporting...more
On August 17, 2018, the U.S. Securities and Exchange Commission (SEC) amended its rules to modernize and streamline certain disclosure requirements for public companies and those pursuing an IPO....more
The U.S. Securities and Exchange Commission (“SEC”) recently released interpretive guidance regarding issues and risks related to cybersecurity for the first time since 2011....more
On Oct. 26, the Securities and Exchange Commission adopted final rules increasing the threshold for offerings made under Rule 504 of Regulation D and broadening the intrastate offering exemption afforded by Rule 147. These...more
11/8/2016
/ Disclosure Requirements ,
Offerings ,
Proxy Voting Guidelines ,
Publicly-Traded Companies ,
Regulation D ,
Rule 147 ,
Rule 504 ,
Securities ,
Securities and Exchange Commission (SEC) ,
Shareholders ,
Transacting Intrastate Business
In a classic Seinfeld episode, George Costanza opined: "it's not a lie, if you believe it". In a ruling handed down on March 24th, the Supreme Court agreed with this sentiment as it concerned claims brought under Section 11...more