21,175 results found

The SEC Division of Corporation Finance granted exemptive relief to MiMedx Group, Inc.

The SEC granted exemptive relief to an exchange-traded fund (the "Fund") from the notice requirements of Exchange Act Rule 10b-17.

The SEC formed an Asset Management Advisory Committee with an initial two-year term beginning on November 1, 2019.

The SEC staff provided no-action relief to a Canadian company, allowing it to conduct a tender offer in the United States in accordance with the requirements of Canadian law and exemptions granted from those requirements.

The SEC Division of Corporation Finance granted no-action relief to a bank from being considered an "ineligible issuer" under Securities Act Rule 405, subject to certain conditions.

The SEC Division of Corporation Finance granted no-action relief to a peer-to-peer lending company from being considered an "ineligible issuer" ...

The SEC granted FINRA and numerous exchanges (together, the "Participants") exemptive relief to permit the Participants to phase-in the implementation of the Tick Size Pilot.

The SEC Division of Corporation Finance granted exemptive relief to a Chilean power corporation allowing it to conduct a tender offer with an arrangement to purchase shares subject to the requirements of local law.

The SEC Division of Corporation Finance Office of Mergers and Acquisitions granted no-action relief to five actively managed exchange-traded funds ("ETFs") from requirements under SEA Rule 14e-5

The SEC Division of Corporation Finance permitted Rowan Companies plc, an offshore drilling services provider, to "file a definitive proxy statement without filing a preliminary proxy statement...

The SEC Division of Corporation Finance granted an exemption from Exchange Act Rule 14e-1(a) ("Unlawful Tender Offer Practices") ...

The SEC staff granted no-action relief to an Indian issuer, allowing the corporation to conduct a partial tender offer in the United States in accordance with the requirements of Indian law.

The SEC Division of Corporation Finance granted relief to an investment management company from being considered an "ineligible issuer" under Securities Act Rule 405.

The SEC Division of Corporation Finance granted an exemption to a UK-based company from an Exchange Act rule barring purchases outside of a tender offer.

On 24 August 2017, the SEC announced an increase in the fees charged to issuers to register their securities.

The SEC issued a warning about investing in companies promising to raise capital by selling cryptocurrencies such as Bitcoin and Ethereum.

The SEC made a correction to Form ATS-N, a form relating to disclosure requirements for alternative trading systems that trade in National Market System stocks ("ATSs").

The SEC named Sagar S. Teotia Deputy, Chief Accountant in the Office of the Chief Accountant. Mr. Teotia was formerly a partner at Deloitte & Touche LLP's National Office Accounting Consultation Group in Chicago.