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  • Article

    President Trump Nominates SEC Commissioner

    President Donald J. Trump nominated Robert Jackson to be a Commissioner on the SEC.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Video

    Private Equity Investments (video)

    Neill Jakobe, Ropes & Gray private equity partner and managing partner of the firm's Chicago office, discusses some of the key trends impacting private equity investments.
    United StatesCorporate/Commercial Law
    Ropes & Gray LLP
    Ropes & Gray LLP
Article

Private Offerings: Questions That Might Frequently Be Asked Sometime Soon (Part II)

Shortly after the Securities and Exchange Commission adopted the final rule relaxing the prohibition against general solicitation in connection with offerings made pursuant to new Rule 506(c) and Rule 144A, we provided our perspective on various interpretative questions that might arise as issuers and financial intermediaries began to avail themselves of the new offering exemption and the ability to communicate more broadly.
United StatesCorporate/Commercial Law
Morrison Foerster
Morrison Foerster
  • Article

    Progress Report On Implementation Of Global Securities Reforms

    On October 28, 2016, IOSCO published a report on the implementation of global securities reforms.
    United StatesCorporate/Commercial Law
    A&O Shearman
    A&O Shearman
  • Article

    Proposed Rules For Reg A+

    The proposed rules were published in today’s Federal Register
    United StatesCorporate/Commercial Law
    Morrison Foerster
    Morrison Foerster
  • Article

    Raising Money? Use This New SEC Tool To Learn About Your Options.

    If you're looking to raise capital for your company or fund, this new tool from the SEC can help you figure out which rules may apply and what your options are for raising money.
    United StatesCorporate/Commercial Law
    Michael Best
    Michael Best
  • Article

    Reg A+ Debate Continues

    The debate regarding state preemption for Tier 2 Regulation A+ offerings appears to continue.
    United StatesCorporate/Commercial Law
    Morrison Foerster
    Morrison Foerster
  • Article

    Reg A+ On Its Way?

    The SEC posted a notice that it will hold an open meeting on Wednesday, December 18, 2013 at 10:00 a.m to consider whether to propose rules and forms related to the offer and sale of securities pursuant to Section 3(b) of the Securities Act of 1933, as mandated by Title IV of the Jumpstart Our Business Startups Act.
    United StatesCorporate/Commercial Law
    Morrison Foerster
    Morrison Foerster
  • Article

    Regulators Extend Comment Deadline For Proposed Volcker Rule Amendments

    The Federal Reserve Board, the FDIC, the Office of the Comptroller of the Currency, the SEC and the CFTC extended the comment period regarding a proposed rule to revamp the Volcker Rule. The comment period deadline – originally September 17, 2018 – was pushed back to October 17, 2018.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    Regulators Increase Scrutiny Of ICO Advertising

    Although the SEC has been focusing substantial enforcement attention on companies that are conducting illegal coin or token offerings, it has not stopped there.
    United StatesCorporate/Commercial Law
    Foley Hoag LLP
    Foley Hoag LLP
  • Article

    Reminder: Renewal And State Notice Filings Due December 17

    Duff & Phelps recommends funding IARD/CRD accounts a few days prior to the deadline.
    United StatesCorporate/Commercial Law
    Duff and Phelps
    Duff and Phelps
  • Article

    Report On Tick Sizes

    These alternatives are likely to be discussed during the meeting of the SEC Advisory Committee on Small and Emerging Companies today.
    United StatesCorporate/Commercial Law
    Morrison Foerster
    Morrison Foerster
  • Article

    SDNY U.S. Attorney Now Turns On Institutions

    Fresh from convicting numerous individuals, U.S. Attorney for the Southern District of New York Preet Bharara said that his office will focus, in appropriate cases, on holding institutions liable for wrongdoing.
    United StatesCorporate/Commercial Law
    Fox Rothschild LLP
    Fox Rothschild LLP
  • Article

    SEC's Final Rules And Guidance On The Standards Of Conduct For Broker-Dealers And Investment Advisers

    On June 5, 2019, the Securities and Exchange Commission approved a package of rulemakings and interpretations designed to enhance the quality and transparency of investors' relationships...
    United StatesCorporate/Commercial Law
    WilmerHale
    WilmerHale
  • Article

    SEC's Fort Worth Regional Office Investigating Underwriter Disclosures On Environmental, Social, And Governance Issues

    It's not a secret that, under the Biden administration, the Securities and Exchange Commission has prioritized enforcement of disclosures concerning Environmental, Social...
    United StatesCorporate/Commercial Law
    Winstead PC
    Winstead PC
  • Article

    SEC's N.Y. Office Director Calamari Resigns

    Andrew M. Calamari, director of the SEC's New York Regional Office, will leave the agency this month after 17 years of service.
    United StatesCorporate/Commercial Law
    Herbert Smith Freehills Kramer LLP
    Herbert Smith Freehills Kramer LLP
  • Article

    SEC Adjusts Securities Transaction Fee Rates

    The SEC issued an Order making annual adjustments to transaction fee rates. The new rates will take effect on July 4, 2017.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Adopts Final Amendments Requiring Hyperlinks And HTML Formatting In Registration Filings

    The SEC voted to adopt final rule and form amendments to require certain public companies to include a hyperlink to each filed exhibit in their registration statements (see previous coverage).
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Adopts New Rules And Amendments Under Title VII Of Dodd-Frank

    On September 19, the SEC adopted new rules and amendments under Title VII of the Dodd-Frank Act establishing recordkeeping and reporting requirements...
    United StatesCorporate/Commercial Law
    Orrick
    Orrick
  • Article

    SEC Adopts Revisions To EDGAR Filer Manual

    The SEC adopted revisions to the Electronic Data Gathering, Analysis and Retrieval System ("EDGAR")
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
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