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The SEC’s proposed changes to private offerings, including proposed changes to Form D, Form D filing requirements, and temporary requirements to submit general solicitation materials, already are generating comment.

The SEC Division of Corporation Finance provided guidance to issuers of ABS regarding certain programming changes to the EDGAR system that have been made to support recently adopted revisions...

On February 4, the SEC released certain technical corrections to rules that were published in the Federal Register on September 24, 2014.

In recent years, shareholder proposals have become a powerful tool for pressing companies to address a wide range of public policy concerns—from climate change and human capital management to human rights and political spending.

Nathan Brown authored an article about securities law as it relates to private equity and hedge funds.

SIFMA called for the creation of a uniform set of rules governing the strike prices of options listed on national securities exchanges.

In its recently released survey, BDO has included specific questions on the effect of the JOBS Act on the IPO market.

As the SEC continues to make progress with rulemaking to implement the mandate of the JOBS Act, perhaps attention will turn once again to addressing other factors that affect initial public offerings.

Fenwick & West partner Stephen Graham reports that the JOBS Act will provide for confidential filings in advance of an initial public offering (IPO).

The state securities regulators, NASAA, just recently published their list of financial products that pose investor protection concerns.

In considering the relaxation of the prohibition against general solicitation and general advertising that was incorporated into the JOBS Act, Congressional attention seemed to focus on some quid pro quo arrangement that demands verification of accredited investor status.

SPACs and Direct Listings have emerged as a significant new liquidity path for high growth tech companies over the last several months.

On December 13, 2016, the FDIC released a notice of proposed rulemaking that proposed amendments to its rule regarding recordkeeping requirements for qualified financial contracts (QFCs) (12 CFR Part 371).

On May 6, 2015, the US Securities and Exchange Commission approved a proposal by the national securities exchanges and the US Financial Industry Regulatory Authority regarding a two-year pilot program...

The DOJ filed charges against the owner of two companies in Florida for submitting false and fraudulent claims in order to receive (i) reimbursement from Medicare and (ii) loans from the Paycheck Protection Program.

The government has recovered a total of nearly $62 billion in fines and penalties from these cases.

Over the last two years, enforcement of the Foreign Corrupt Practices Act ("FCPA") has remained a priority of the U.S. Department of Justice and Securities and Exchange Commission. That emphasis is likely to continue through 2014 and beyond. Companies should expect the federal government and, increasingly, foreign authorities to continue to devote significant resources to investigating and punishing FCPA violations.