On April 18, the Internal Revenue Service (“IRS”) issued a draft version of Form 1099-DA, a proposed information reporting form regarding certain digital asset sales and exchanges that “digital asset brokers” will need to...more
4/24/2024
/ Anti-Money Laundering ,
Bank Secrecy Act ,
BSA/AML ,
Cryptocurrency ,
Decentralized Finance (DeFi) ,
Digital Assets ,
Digital Wallets ,
Internal Revenue Code (IRC) ,
IRS ,
Know Your Customers ,
Reporting Requirements
Ballard Spahr attorneys from the firm’s Life Sciences and Health Care Industry Teams were on the ground for the 42nd Annual J.P. Morgan Healthcare Conference (JPM24) from January 7-10. While still less crowded than...more
1/22/2024
/ Acquisitions ,
Antitrust Provisions ,
Coronavirus/COVID-19 ,
Department of Justice (DOJ) ,
Drug Pricing ,
Federal Trade Commission (FTC) ,
Health Care Providers ,
Healthcare ,
Healthcare Reform ,
Initial Public Offering (IPO) ,
Life Sciences ,
Medicare ,
Mergers ,
Pharmaceutical Industry ,
Physicians ,
Prescription Drugs ,
Private Equity
Incorporating in the Seychelles but Allegedly Operating in the U.S. Spells Trouble for Company and its Founders -
The Bitcoin Mercantile Exchange, or BitMEX, is a large and well-known online trading platform dealing in...more
10/13/2020
/ Anti-Money Laundering ,
Bank Secrecy Act ,
Bribery ,
BSA/AML ,
CFTC ,
Commodity Exchange Act (CEA) ,
Corporate Counsel ,
Cryptocurrency ,
Department of Justice (DOJ) ,
Digital Assets ,
Financial Institutions ,
Indictments ,
Know Your Customers ,
Registration Requirement ,
Suspicious Activity Reports (SARs) ,
Trading Platforms
The Securities and Exchange Commission announced that it adopted amendments to modernize Rule 14a-8—the shareholder proposal rule, which governs the process for a shareholder to have its proposal included in a public...more
We previously discussed the Securities and Exchange Commission’s (the SEC) proposed Rule 163B under the Securities Act of 1933, as amended (the Securities Act), and proposed amendments to Rule 405 promulgated under the...more
10/2/2019
/ Accredited Investors ,
Corporate Issuers ,
Emerging Growth Companies ,
Filing Requirements ,
Institutional Investors ,
Investment Companies ,
Proposed Rules ,
Qualified Institutional Buyers ,
Rule 163B ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Testing-the-Waters Communications
As part of its ongoing review of the disclosure requirements under federal securities laws, the Securities and Exchange Commission (SEC) has proposed amendments relating to business acquisitions and dispositions by...more
The Securities and Exchange Commission (SEC) recently voted to propose new Rule 163B under the Securities Act of 1933, as amended (the Securities Act), and amendments to Rule 405 (collectively, the Proposed Rule) promulgated...more
3/4/2019
/ Accredited Investors ,
Capital Markets ,
Emerging Growth Companies ,
Gun-Jumping ,
Offerings ,
Prospectus ,
Publicly-Traded Companies ,
Qualified Institutional Buyers ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
The Securities and Exchange Commission (SEC) last week adopted a final rule amending Regulation A to broaden eligibility for its exemption from full SEC registration. ...more
12/31/2018
/ Capital Markets ,
Exemptions ,
Final Rules ,
Financial Regulatory Reform ,
Public Offerings ,
Publicly-Traded Companies ,
Regulation A ,
Regulatory Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
The Securities and Exchange Commission (SEC) has adopted interim final rules permitting smaller reporting companies, generally companies with a public float of less than $75 million, to incorporate by reference on Form S-1...more
The Securities and Exchange Commission (SEC) recently proposed rules requiring national securities exchanges such as the New York Stock Exchange and NASDAQ to establish listing standards requiring publicly traded companies to...more