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Small Business Today's Popular Updates Securities and Exchange Commission (SEC)

Buchalter

PPP Lender Liability, Enforcement, & Fintech Challenges

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The Paycheck Protection Program (“PPP”) emerged as a lifeline for small businesses grappling with the unprecedented challenges of the COVID-19 pandemic. Lenders navigated a landscape of regulations that Congress quickly...more

Troutman Pepper

More Privacy, Please – July 2023

Troutman Pepper on

Editor’s Note: Texas, Oregon, and Delaware became the latest states to pass a comprehensive privacy bill, while the CPRA, Connecticut, and Colorado’s privacy laws came into force. In the litigation world, the FTC filed an...more

Bradley Arant Boult Cummings LLP

Complying With the FTC's Amended Safeguards Rule

Cybersecurity is a looming threat for most businesses. The impact of a major cyber event can resonate for weeks, months, and even years after the initial attack. To mitigate the risks to consumers, there have been several...more

Mayer Brown Free Writings + Perspectives

Commissioners’ Comments at the 42nd Annual Small Business Forum

The Securities and Exchange Commission’s Office of the Investor Advocate held the 42nd Annual Small Business Forum—this time convening panels over four days on various topics, including trends and challenges affecting early...more

Mayer Brown Free Writings + Perspectives

SEC Small Business Capital Formation Advisory Committee Examines the Public Market

The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee held a panel discussion on recent trends in taking a company public during its October 13, 2022 meeting. The panel, “Update on the...more

Paul Hastings LLP

Daily Financial Regulation Update -- Friday, June 24, 2022

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Major Developments- Federal Reserve Board- Federal Reserve Board releases results of annual bank stress test- June 23, 2022- The Federal Reserve Board released the results of its annual bank stress test....more

PilieroMazza PLLC

Weekly Update for Government Contractors and Commercial Businesses – October 2021

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BUSINESS & TRANSACTIONS - SEC Revisits Stalled Rules for Clawing Back Executive Bonuses - Bloomberg Tax reported that the Securities and Exchange Commission (SEC) is working to finish long-stalled rules that would restrict...more

Robins Kaplan LLP

Financial Daily Dose 10.12.2020 | Top Story: Court Rules Apple Doesn’t Have to Offer Fortnite in App Store

Robins Kaplan LLP on

Big Friday win for Apple in its ongoing battle with Epic Games, as N.D. Cal. Federal Judge Yvonne Gonzalez Rogers ruled that Cook & Co. didn’t “need to reinstate the popular video game Fortnite in its App Store,” a blow to...more

Sheppard Mullin Richter & Hampton LLP

SEC Offers Limited Rule Relief to Spur Small Business Crowdfunding During Pandemic

On May 4, 2020, the Securities and Exchange Commission (“SEC”) issued a temporary final rule easing some restrictions on small businesses seeking to raise capital pursuant to Regulation Crowdfunding (“Reg CF”). The SEC made...more

Robins Kaplan LLP

Financial Daily Dose 11.13.2019 | Top Story: Buffeted by Changing Consumer Demands, Dean Foods Declares Bankruptcy

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Dean Foods, the largest milk company in the U.S., has filed for bankruptcy protection, a “fresh setback to a U.S. dairy industry struggling against declining U.S. milk consumption and rising competition.”  Industry experts...more

Broker-Dealer Compliance + Regulation

House Bill Would Ease Regulatory Restrictions to Private Fund Advisers

On September 9, 2016, the U.S. House of Representatives approved a bill that would amend the Investment Advisers Act of 1940 to modernize certain disclosure requirements and lessen regulatory burdens on private fund advisers....more

Stinson - Corporate & Securities Law Blog

SEC Proposes Increasing Threshold to Qualify as a Smaller Reporting Company

The SEC has proposed amendments that would increase the financial thresholds in the “smaller reporting company” definition. The proposal to update the definition would expand the number of companies that qualify as smaller...more

Adler Pollock & Sheehan P.C.

Federal Crowdfunding: What Comes Next?

In our original article on this subject, “SEC Finally Adopts Federal Crowdfunding Rules: All That Glitters May Not Be Gold,” we discussed some of the highlights of the final federal crowdfunding rule (the “Regulation”)...more

Adler Pollock & Sheehan P.C.

Federal Crowdfunding: Practical Considerations For Interested Parties

This is the second of a series of articles on the final federal crowdfunding rule (the “Regulation”) recently adopted by the Securities Exchange Commission (“SEC”). As explained more fully in our original article, federal...more

Mintz - Intellectual Property Viewpoints

Crowdfunding and IP in Health and Biotech Start-ups (Part 3): Potential Dangers

This is the third in a 3-part series about the use of crowdfunding in health and biotech start-ups. We started with the story of a tech start-up which set records for funding through a Kickstarter campaign, triggering the...more

Stinson - Corporate & Securities Law Blog

Is Crowdfunding Under the JOBS Act Dead?

In a recent article titled JOBS Act State of the Union (well worth a read in full), Samuel Guzik makes the case that the SEC has given up on creating rules to implement Title III crowdfunding under the JOBS Act. Title III of...more

Blank Rome LLP

SEC FCPA Settlement Sends Wake-Up Call to Small and Medium-Sized Businesses

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On July 28, 2014, Smith & Wesson Holding Corp. (“Smith & Wesson”), the firearms manufacturer based in Springfield, Massachusetts, agreed to resolve charges brought by the Securities and Exchange Commission (“SEC”) for...more

Winstead PC

Crowdfunding in Texas – When?

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The Texas intrastate crowdfunding rules were adopted in April and the Texas Securities Board will consider comments to the rules through the end of June (even though the official deadline for comments is June 8th). The...more

Smith Anderson

Recent Developments for Intrastate Crowdfunding and Social Media Use

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In June 2013, the N.C. House of Representatives approved HB 680, the Jumpstart Our Business Startups Act (NC JOBS Act) by an overwhelming bipartisan vote of 103-1. Designed to utilize the “intrastate offering” exemption found...more

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