The U.S. Securities and Exchange Commission’s Division of Trading and Markets has finally answered a question that has hovered over independent broker-dealers for years: when can a registered representative’s own LLC or...more
12/11/2025
/ Broker-Dealer ,
Business Entities ,
Limited Liability Company (LLC) ,
New Guidance ,
No-Action Letters ,
Policies and Procedures ,
Recordkeeping Requirements ,
Registration Requirement ,
Regulatory Oversight ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Supervision
For executives and in-house counsel, capital‑markets access can determine whether strategic plans accelerate or stall. Reverse mergers remain a viable path to the public markets, but only for companies that understand how...more
11/14/2025
/ Capital Markets ,
Corporate Governance ,
Disclosure Requirements ,
Initial Public Offering (IPO) ,
Listing Rules ,
Nasdaq ,
Regulatory Requirements ,
Reporting Requirements ,
Reverse Mergers ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
Until recently, most public-company boards could dismiss corporate crypto exposure as too volatile, too complex, or too murky under U.S. accounting rules. That’s no longer true. Over the past year, regulators and...more
10/30/2025
/ Accounting Standards ,
Bitcoin ,
Blockchain ,
Board of Directors ,
CFOs ,
Corporate Governance ,
Cryptocurrency ,
Digital Assets ,
Disclosure Requirements ,
ETFs ,
GAAP ,
Internal Controls ,
Investment Company Act of 1940 ,
IRS ,
Reporting Requirements ,
Risk Management ,
Securities and Exchange Commission (SEC)
The U.S. Securities and Exchange Commission (SEC) has centralized cross-border enforcement resources to move faster across jurisdictions, align with foreign regulators, and scrutinize the gatekeepers that enable access to...more
10/20/2025
/ Capital Markets ,
Corporate Counsel ,
Cross-Border ,
Cross-Border Transactions ,
Data Privacy ,
Disclosure Requirements ,
Due Diligence ,
Enforcement Actions ,
General Data Protection Regulation (GDPR) ,
International Data Transfers ,
IOSCO ,
Publicly-Traded Companies ,
Regulatory Requirements ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
Public companies and their in-house counsel should take note of a recent policy statement from the U.S. Securities and Exchange Commission (SEC) related to arbitration clauses. On September 17, 2025, the SEC confirmed that...more
10/15/2025
/ Arbitration ,
Corporate Counsel ,
Corporate Governance ,
Delaware ,
Delaware General Corporation Law ,
Disclosure Requirements ,
Investors ,
Mandatory Arbitration Clauses ,
Proxy Advisory Firms ,
Publicly-Traded Companies ,
Registration Statement ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
For small and mid-cap public companies, SEC reporting has never been more demanding. Lean finance and legal teams, fast-moving regulatory updates, and heightened investor scrutiny mean that even small mistakes can carry...more
9/29/2025
/ Beneficial Owner ,
Disclosure Requirements ,
EDGAR ,
Environmental Social & Governance (ESG) ,
Form 10-K ,
Form 10-Q ,
Form 8-K ,
Non-GAAP Financial Measures ,
Popular ,
Publicly-Traded Companies ,
Reporting Requirements ,
Schedule 13D ,
Securities and Exchange Commission (SEC) ,
Special Purpose Acquisition Companies (SPACs)
Public company in-house counsel will learn key ways to stay compliant with the SEC's ever-changing reporting requirements in this complimentary webinar featuring two leading capital markets and securities attorneys, the first...more
8/20/2025
/ Board of Directors ,
Capital Markets ,
Capital Raising ,
Compliance ,
Corporate Finance ,
Corporate Governance ,
Publicly-Traded Companies ,
Reporting Requirements ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Shareholder Activism ,
Webinars