Although EDGAR continues to accept filings, the government shutdown has now eclipsed its 28th day and the SEC continues to operate with limited staff which is having a crippling effect on the ability of many companies to...more
1/21/2019
/ Capital Formation ,
Capital Markets ,
Filing Requirements ,
Financial Statements ,
Funding ,
Government Shutdown ,
Initial Public Offering (IPO) ,
Publicly-Traded Companies ,
Registration Statement ,
Regulation S-X ,
Section 8(a) ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Stop Order
In a flurry of activity and confluence of developments, the SEC, FINRA and a Brooklyn federal judge have commenced actions and made rulings that continue to define the regulatory framework and obligations surrounding the sale...more
9/13/2018
/ Administrative Orders ,
Broker-Dealer ,
Cease and Desist Orders ,
Cryptocurrency ,
Digital Assets ,
Digital Securities ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Hedge Funds ,
Initial Coin Offering (ICOs) ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Motion to Dismiss ,
Professional Disciplinary Actions ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Fraud ,
Settlement ,
Token Sales ,
Unregistered Securities