News & Analysis as of

Privately Held Corporations Financial Services Industry Securities and Exchange Commission (SEC)

Stinson LLP

New Exemption for M&A Brokers from Federal Broker-Dealer Registration

Stinson LLP on

Signed into law by President Biden on December 29, 2022, new provisions in the Consolidated Appropriations Act, 2023 (H.R. 2617) (Exemption) exempt certain “M&A brokers” from having to register as broker-dealers with the U.S...more

Proskauer - The Capital Commitment

Unicorns: The Tale Continues

Potential disputes involving unicorns have been a hot topic for the last several years. We predicted that would continue this year in in our webinar and related blog post: The Top Ten Regulatory and Litigation Risks for...more

Fenwick & West LLP

SEC Fines Private Company in First Enforcement Action Resulting from Rule 701 Option Grants Investigation

Fenwick & West LLP on

The U.S. Securities and Exchange Commission brought an action against San Francisco-based Credit Karma on March 12 for issuing employee stock options without a valid registration exemption because the issuer failed to satisfy...more

3 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide