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The SEC guide (see: http://www.sec.gov/info/smallbus/secg/bad-actor-small-entity-compliance-guide.htm) provides useful guidance for firms seeking to comply with the bad actor rule, which becomes effective September 23.

The SEC renewed the Equity Market Structure Advisory Committee (the "Committee") for a period of five months.

This session covers events that trigger an 8-K filing, reporting significant acquisitions and related financial statement requirements, pitfalls for the unwary and impact on Form S-3 eligibility.

This session covers Section 16–purpose and overview, Section 16 insiders and timing considerations–entering and leaving the system, short swing profits and disgorgement and disclosure considerations.

The SEC solicited comments on FINRA's proposed amendment to Rule 6433. The amendment would extend the effective date of the Tier Size Pilot until December 9, 2016.

The SEC revised the procedures for submitting documents to the EDGAR system.

On September 25, the U.S. Securities and Exchange Commission (the "SEC") announced that it is seeking public comment on the effectiveness of financial disclosure requirements in Regulation S-X.

The SEC established the fee rates applicable to securities transactions. The new fee rate will be $20.70 per million dollars.

The meeting will be held on July 19, 2016 at 9:30 a.m. and will be broadcast live on the SEC's website.

The SEC set the fee that public companies and other issuers must pay to register their securities with the agency for FY 2019 at $121.20 per million dollars.

The SEC adjusted the securities registration fee rate for public companies and other issuers. The FY 2020 rate was set at $129.80 per million.

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.

The SEC recently announced that the annual Government-Business Forum on Small Business Capital Formation will be held on November 20th at the SEC in Washington.

Today the SEC announced the agenda and speakers for its annual Small Business Forum, which will focus on developments in the Regulation D market.

Various new Compliance & Disclosure Interpretations were issued yesterday.

The SEC Division of Trading and Markets staff stated that as of September 28, 2021, "broker-dealers will no longer be able to publish proprietary quotations for the securities of any issuer for which there is no current and publicly available information."

Investors want a piece of Silicon Valley's hot companies. Couple that trend with employees looking to diversify or sell shares and secondary market trading follows.