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The SEC Proposed Extensive Additional Requirements for the General...
In addition to adopting the final rules governing general solicitation and advertising in connection with certain securities offerings where all purchasers are accredited investors, on July 10, 2013,...
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Focus on Business Continuity and Disaster Recovery
The Securities and Exchange Commission seems to be awfully worried about disasters lately. On August 16, 2013, the SEC joined the Commodity Futures Trading Commission’s Division of Swap Dealers and...
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THE SEC AND FINRA ISSUE PROPOSED CROWDFUNDING RULES
THE SEC AND FINRA ISSUE PROPOSED CROWDFUNDING RULES On October 23, 2013, the Securities and Exchange Commission released the long-awaited proposed crowdfunding rules necessary to implement Title III of...
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Looking Back – 2013 SEC Comment Letter Trends
As we look forward to the upcoming 2014 10-K and proxy season, I like to take a look back at the crop of comment letters issued by the Securities and Exchange Commission staff in 2013. While there...
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SEC Division of Trading and Markets Issues a No Action Letter Regarding M&A...
Business brokers vary greatly in terms of size, services provided and types of business they target as clients. Generally, the more sophisticated and larger brokers are referred to as investment...
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Have you been a “Bad Actor”? Maybe You Should Just Beg for Forgiveness.
Rule 506 under the Securities Act of 1933 is the most widely used exemption from the registration requirements of the Securities Act. The exemption is used by a wide range of issuers from small,...
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Investing in Bitcoin? Think Twice Says the SEC.
Bitcoin has been in the news a lot recently and most of the news has been bad, including news of the bankruptcy of Mt. Gox, formerly one of the world’s largest Bitcoin exchanges. Most recently, on May...
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FRIDAY AFTERNOON SMACKDOWN – THE SEC v. THE HOUSE OF REPRESENTATIVES
On Friday, June 20, 2014, the Securities and Exchange Commission filed an action against the Committee on Ways and Means of the U.S. House of Representatives and congressional staffer Brian Sutter...
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Is the SEC Doing Enough to Promote Capital Formation?
If you believe Commissioner Daniel M. Gallagher, the answer is an emphatic “no”, at least with respect to small businesses. On September 17, 2014, at a Heritage Foundation event, Commission Gallagher...
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Is SEC Regulation of Political Spending Dead?
It is unlikely that it is dead, but it certainly is on life support. But, I believe that board oversight, and disclosure, of corporate political expenditures will continue to increase. In 2011, the...
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