On Jan. 30, 2020, the Financial Industry Regulatory Authority (FINRA) proposed amendments to the Capital Acquisition Broker (CAB) rules to expand the range of permitted activities for CABs and their associated persons. ...more
On Dec. 18, 2019, the Securities and Exchange Commission (SEC) proposed changes to the definition of “accredited investor” under Regulation D to broaden the definition and identify more effectively the pool of investors that...more
12/20/2019
/ Accredited Investors ,
Comment Period ,
Investors ,
Proposed Rules ,
Qualified Institutional Buyers ,
Regulation D ,
Regulatory Agenda ,
Rule 506 Offerings ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
On May 9, 2019, the SEC proposed amendments to the accelerated filer and large accelerated filer definitions under the Exchange Act....more
Background On Feb. 19, 2019, the Securities and Exchange Commission (the SEC) voted to propose a rule and related rule amendments under the Securities Act of 1933, as amended (the Securities Act)...more
2/20/2019
/ Accredited Investors ,
Comment Period ,
Corporate Issuers ,
Emerging Growth Companies ,
Initial Public Offering (IPO) ,
JOBS Act ,
Proposed Rules ,
Qualified Institutional Buyers ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
On July 24, the Securities and Exchange Commission voted to propose rule amendments to simplify and streamline the financial disclosure requirements applicable to debt offerings for guarantors and issuers of guaranteed...more