The U.S. Securities and Exchange Commission (SEC) has recently taken several actions to make clear that it is focused on and actively monitoring the rapidly growing market for so-called “token sales” or “initial coin...more
9/13/2017
/ Capital Formation ,
CFTC ,
Crowdfunding ,
Cybersecurity ,
Enforcement Actions ,
Hackers ,
Information Reports ,
Initial Coin Offering (ICOs) ,
Investigations ,
Investment Funds ,
Investor Protection ,
Popular ,
Pump and Dump ,
Registration Requirement ,
Risk Alert ,
Scams ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Transactions ,
State Securities Claims ,
Token Sales
Highlights -
- Under NASDAQ rules, shareholder approval is required for the issuance of shares in connection with certain transactions.
- NASDAQ announced that it is seeking public input on liberalizing the...more
Highlights -
- New law adding an exemption to the registration and prospectus delivery requirements of the Securities Act of 1933 signed by President Obama.
- The law, which codifies the so-called Section 4(a)(1-½)...more
Highlights:
- The SEC plans to develop a proactive and agile regulatory framework through which it can anticipate issues and address them proactively, even as the capital markets continue to undergo rapid change.
-...more
The Securities and Exchange Commission (SEC) issued a report on April 2, 2013 concerning its investigation into the use of social media by public companies in the United States (Report). The Report confirms that a public...more
4/11/2013
FINRA, the largest independent regulator for all securities firms doing business in the United States, has released a set of FAQs relating to its review of public securities offerings filed on its Public Offering Filing...more
2/15/2013
/ Conflicts of Interest ,
Disclosure Requirements ,
DPPs ,
Exemptions ,
Filing Fees ,
Financial Industry Regulatory Authority (FINRA) ,
Initial Public Offering (IPO) ,
Lock-Up Requirements ,
Public Offerings ,
REIT ,
Right of First Refusal ,
Securities and Exchange Commission (SEC) ,
Underwriting