News & Analysis as of

Securities Registration

Mayer Brown Free Writings + Perspectives

SEC Filing Fees

The Securities and Exchange Commission recently announced that the fees that registrants pay to register their securities with the SEC will increase from $147.60 per million dollars to $153.10 per million dollars, effective...more

Wilson Sonsini Goodrich & Rosati

SEC Announces Increase in Registration Fee Rates Effective October 1, 2023

On August 25, 2023, the U.S. Securities and Exchange Commission (SEC) announced an increase in the fees that public companies and other issuers will be required to pay to register their securities, from $110.20 per million...more

Tonkon Torp LLP

Recent Court Decision Sheds Light on Cryptocurrency Treatment Under Securities Law

Tonkon Torp LLP on

A recent class certification decision (Williams v. Kucoin et al.[1]) from a magistrate judge in the Southern District of New York provides insight on how courts view those who enable trading in cryptocurrencies and...more

Winstead PC

The Division of Examinations’ Continued Focus on Digital Asset Securities and Implications for Investment Advisers

Winstead PC on

If you are a securities industry participant seeking to engage in digital asset-related activities, it is time to develop and enhance your compliance practices, says a risk alert by the SEC’s Division of Examinations. ...more

Dechert LLP

OCIE Cyber Risk Alert Identifies Increase in Sophistication of Ransomware Attacks on SEC Registrants

Dechert LLP on

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a cybersecurity risk alert on July 10, 2020 regarding ransomware (Alert). In the Alert, OCIE described “recent reports”...more

Sullivan & Worcester

The Filing Fee FEDWIRE Payment Template Can Help You Avoid Unnecessary Filing Delays

Sullivan & Worcester on

If a wire transfer of SEC filing fees does not contain the required information in the proper format, the acceptance of your filing could be delayed. It is critical that you provide to your sending bank or wire transfer...more

Stinson - Corporate & Securities Law Blog

Corp Fin Issues Three New and Revised Interpretations of the Securities Act Rules

On October 19th, the Division of Corporation Finance released three new and revised Compliance and Disclosure Interpretations (C&DIs) concerning the Securities Act. Revised C&DI 271.04 and new C&DI 271.21 relate to exempt...more

Stinson LLP

SEC's Filing Fees Increase 15 Percent Effective October 1, 2016

Stinson LLP on

On August 31, 2016, the Securities and Exchange Commission (SEC) announced that in fiscal year 2017, the fees that public companies and other issuers pay to register their securities with the SEC will be increased from...more

Cooley LLP

Blog: SEC Reduces Fee Rates For Fiscal 2016

Cooley LLP on

The SEC has announced that the fee for registration of securities and certain other transactions in fiscal 2016 will be $100.70 per million dollars. Under Dodd-Frank, the annual rate changes must take effect on the first day...more

Proskauer Rose LLP

Broker-Dealer Beat - December 2014 #2

Proskauer Rose LLP on

The SEC recently sanctioned another foreign bank for conducting cross-border brokerage activities without being registered. Since 2009, the SEC has sanctioned a number of foreign firms for failing either to register as a...more

Orrick - Finance 20/20

SEC Proposes Amendments to Implement JOBS Act Mandate for Exchange Act Registration Requirements

Orrick - Finance 20/20 on

As mandated by the Jumpstart Our Business Startups Act (JOBS Act), on December 17 the Securities and Exchange Commission approved the issuance of proposed amendments to revise the rules related to the thresholds for...more

Cooley LLP

Blog: SEC proposes rule amendments to conform registration thresholds to JOBS Act thresholds

Cooley LLP on

At the end of last week, the SEC issued a press release indicating that it had voted to propose various amendments to implement portions of the JOBS Act. (In a departure from the norm, the SEC did not hold an open meeting to...more

Katten Muchin Rosenman LLP

SEC Decreases Registration Statement Filing Fees for Fiscal Year 2015

On August 29, the Securities and Exchange Commission announced that, effective October 1, the fees that public companies and other issuers pay to register their securities with the SEC will decrease from $128.80 per million...more

Cooley LLP

SEC Issues Fee Rate Advisory For Fiscal 2015

Cooley LLP on

Last Friday, the SEC announced that the fees for registration of securities and certain other transactions in fiscal 2015 will be $116.20 per million dollars, down from $128.80 per million dollars last year....more

Morrison & Foerster LLP - JOBS Act

NASAA Seeks Comment on a Model Rule for Electronic Blue Sky Filings

The North American Securities Administrators Association, Inc. (NASAA) posted a web notice requesting comment on model rules that would provide for electronic filings with the states of Form D and other state securities...more

Broker-Dealer Compliance + Regulation

Pre-IPO Selling Procedures Need to Be Adequately Supervised, According to FINRA

Broker-dealers selling interests in IPOs need to have adequate supervisory systems to ensure that registered representatives do not make actual sales before the securities are registered, according to a settlement of a formal...more

Allen Matkins

Securities Regulator “Surprised and Offended” By SEC’s Regulation A+ Proposal

Allen Matkins on

Section 401 of the JOBS Act directs the Securities and Exchange Commission to adopt rules exempting offerings of up to $50 million of securities annually from the registration requirements of the Securities Act of 1933, as...more

Dorsey & Whitney LLP

Credit Suisse Admits Securities Law Violations

Dorsey & Whitney LLP on

Another example of the Commission’s new and evolving ad hoc admissions policy emerged from the settlement of an administrative proceeding with Credit Suisse Group AG. In the Matter of Credit Suisse Group AG, File No. 3-15763...more

Orrick - Finance 20/20

SEC Issues Proposed Rule on Amendments to Regulation A

On December 18, the SEC proposed rule amendments to Regulation A implementing Section 401 of the JOBS Act directing the SEC to exempt annual offerings of up to $50 million from registration. The comment period will close 60...more

Proskauer Rose LLP

SEC Staffer Cautions Private Funds Industry on Potential Broker Registration Issues

Proskauer Rose LLP on

In a recent speech given to the ABA Trading and Markets Subcommittee, David W. Blass (Chief Counsel of the SEC's Division of Trading and Markets) focused on a number of activities commonly conducted by private fund advisers...more

Stinson - Corporate & Securities Law Blog

New FAQs On Broker-Dealer Registration Exemption

On February 5, 2013, the SEC released FAQs regarding Section 201 of the JOBS Act, which offers a new limited exemption from broker-dealer registration....more

21 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