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Filing Requirements Investor Protection

Foley Hoag LLP - Public Companies & the Law

SEC Brings Enforcement Actions for Failures to Timely File Form D

On December 20, 2024, the Securities and Exchange Commission (the “SEC”), announced settled charges against two private companies and one registered investment adviser for failing to timely file Forms D, a violation of Rule...more

DarrowEverett LLP

Private Placements in Florida Just Got Easier: Here’s How

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Florida recently implemented amendments to its Securities and Investor Protection Act (“Chapter 517”), bringing significant changes to the regulatory framework governing private placements, investment advisors, and exemptions...more

Stikeman Elliott LLP

CSA Propose Modernization of Prospectus Filing for Investment Funds

Stikeman Elliott LLP on

Proposed modernization of certain investment fund prospectus filing rules would extend lapse date to 24 months. CSA also considering introducing base shelf filing for all investment funds....more

White & Case LLP

Practical Tips to Prepare for Upcoming Quarterly Disclosures

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As companies close their books on the second quarter and prepare their second quarter disclosures, it is important to assess the continuing impact of COVID-19 on businesses, employees and financial results and provide...more

Morrison & Foerster LLP

FINRA Proposes Initial Round of Amendments to Communications Rules

In May 2016, FINRA filed with the SEC proposed revisions to its communications rules that include a few substantive revisions to existing rules, ease some burdensome filing requirements, and leave the door open for future...more

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