21,175 results found

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

Litigation partners Alan R. Friedman and Steven S. Sparling, special counsel Arielle Warshall Katz, and associates Daniel M. Ketani and David Richards; and Environmental partner...

Rule 15c2-11 sets forth procedures for the submission and publication of quotations by broker-dealers for certain OTC securities.

The SEC has increased its focus on cybersecurity risks, and recent actions suggest that management and boards should be paying attention.

Earlier this week, the Congressional Committee on Oversight and Government Reform and the Committee on Financial Services sent a letter to SEC Chairman Walter inquiring about the progress of the Commission's required rulemaking under the JOBS Act.

Joshua Horn's blog post, "What you need to know about the SEC cyber security exam priority" originally posted the firm's Securities Compliance Sentinel, was mentioned as one of the top postings for September 18, 2015.

Joshua Horn's blog post, "Who Wants Some Additional Ideas About Cybersecurity" originally posted in the firm's Securities Compliance Sentinel, was mentioned as one of the top postings for November 23, 2015.

"Transition Tuesdays" virtual panel discussion series exploring the potential impact of the 2020 U.S. elections on various sectors.

On March 26, Capital Ventures International and several UBS affiliates filed a stipulation of dismissal after reaching a settlement disposing of all claims in the action.

Now that the Advisory Committee on Small and Emerging Companies and various industry groups are focused on the possibilities associated with modernizing Rule 147...

The SEC Advisory Committee on Small and Emerging Companies will hold its next meeting on September 23, 2015 at 9:30 a.m.

Yesterday, the Securities and Exchange Commission announced that it will hold an open meeting on February 21st at 10 a.m. to consider various matters ...

The Securities and Exchange Commission's Corporation Finance Director, William Hinman, has provided new guidance on when a digital asset transaction is an "investment contract" under the Howey test.

On June 28, 2018, the Securities and Exchange Commission expanded the number of smaller companies eligible to comply with scaled disclosure requirements ...

On April 18, 2018, the SEC proposed new rules requiring registered investment advisers and broker-dealers to provide retail investors with a client relationship summary ...

A judge in the Eastern District of New York has ruled that initial coin offerings may be subject to securities laws.

The U.S. Supreme Court recently granted a writ of certiorari in the case of in Raymond J. Lucia Cos., Inc. v. SEC.