21,177 results found

Allison H. Lee was sworn in as SEC Commissioner. She replaces former Commissioner Kara Stein.

The SEC has provided very short notice of an open meeting to consider proposed rules under Title III of the JOBS Act.

The SEC is updating the Electronic Data Gathering, Analysis, and Retrieval ("EDGAR") system's Filer Manual.

The latest cases in a recent string of settled orders by the Securities and Exchange Commission again highlight the agency's resolve to prevent corporate actions that could chill reporting of possible legal violations.

We hope that the SEC engages actively with the securities exchanges to facilitate the listing of securities of issuers concurrently with the pricing of their Regulation A+ (a/k/a 3(b)(2)) offerings.

Shareholder proposals relating to ESG matters are frequent targets for exclusion by companies, and based upon a survey of the no-action letters submitted during the 2019 proxy season, this trend continues.

Earlier this month, the SEC released a small entity compliance guide for issuers regarding its recently passed crowdfunding regulation to help provide issuers with some additional clarity.

Chicago corporate and tax partner Jack S. Levin has co-authored (along with Donald E. Rocap) a widely used treatise in the corporate and tax areas.

The Securities and Exchange Commission (SEC) has undertaken additional steps to negate the Biden administration’s rulemaking with respect to ESG principles.

Corp Fin has made it official—no more courtesy copies. Even with EDGAR filings, firms often provide "courtesy copies" of registration statements, marked copies...

Given the shutdown of the SEC as part of the wider government shutdown, we are seeing many registration statements being filed with no delaying amendment language and with the language

Michael Dambra, and Laura Field, Matthew Gufstafson, and Kevin Pisciotta examine the effect of the JOBS Act on equity research.

Insider trading by lawyers and legal personnel is not a new phenomenon. However, a recent series of SEC insider trading actions charging senior lawyers in legal departments

Continuing their heightened focus on the information security practices of regulated fi rms, both the Securities and Exchange Commission (SEC) ..

On January 16, 2018, the European Securities and Markets Authority (ESMA) published an updated version of its practical guide to the national rules across the EEA ...

The U.S. Treasury Department ("Treasury") requested reports from entities whose positions in 1-5/8% Treasury Notes ("Notes") with a maturity date of May 2026 equaled or exceeded $2.3 billion as of May 16, 2016.

With his selection of deal-making attorney Walter "Jay" Clayton to head the U.S. Securities and Exchange Commission, President-elect Donald Trump is signaling that the agency will try to reduce regulations...

Two ICO Issuers Settle SEC Charges for Failing to Register Tokens.