Securities and Exchange Commission (SEC), New Guidance, Registration Requirement

SEC Expands Confidential Registration Statement Submission Process

Foley Hoag LLP - Public Companies & the Law on 3/31/2025

On March 3, 2025, the Staff of the SEC Division of Corporate Finance announced an expansion of the accommodations that allow issuers to confidentially submit draft registration statements (DRSs) for nonpublic review. This is...more

SEC Deep-Sixes Its Expanded “Dealer” Definition

Carlton Fields on 2/28/2025

Last year, the Securities and Exchange Commission amended its definition of “dealer” to require broker-dealer registration by some persons or entities previously considered securities “traders” not subject to such...more

Why It’s Taking So Long: the SEC and FINRA Issue Guidance on Crypto Broker-Dealer Complexities

King & Spalding on 7/19/2019

The SEC signaled last week that it appears to be growing more comfortable approving certain digital asset activities, qualifying the first two initial coin offerings ever to proceed as registered securities....more

Initial Coin Offerings (ICOs) May Be Subject to SEC Registration Requirements

BCLP on 11/14/2017

Initial Coin Offerings (ICOs) and other digital currency financing events have enjoyed explosive growth in 2017, with hundreds of millions of dollars invested with little to no regulation or government oversight. That era...more

SEC Issues Guidance on Regulation of Initial Coin Offerings

Skadden, Arps, Slate, Meagher & Flom LLP on 8/3/2017

Over the last 12 months, a growing number of start-ups, primarily those offering blockchain-based services, have raised capital utilizing so-called initial coin offerings or token sales (collectively referred to herein as...more

Shopping for Startups – SEC Offers Additional Guidance for Intermediary Crowdfunding Portals

BCLP on 4/15/2016

I previously wrote about the new rules of the Securities and Exchange Commission (“SEC”) allowing startups to utilize crowdfunding platforms to sell an equity stake in their business to investors in exchange for working...more

"CFTC, SEC Issue Guidance on the Applicability of Certain Regulations to Family Offices"

Skadden, Arps, Slate, Meagher & Flom LLP on 2/27/2015

In November and December 2014, the Commodity Futures Trading Commission (the “CFTC”) and Securities and Exchange Commission (“SEC”), respectively, issued guidance regarding the applicability of certain regulations to family...more

Securities and Exchange Commission (SEC) › New Guidance › Registration Requirement