7,917 results found

"Matchmaking sites," also referred to as "matchmaking platforms," have come to play a more significant role in capital formation in recent years.

The SEC announced that the next meeting of the Advisory Committee on Small and Emerging Companies will be held on Wednesday, May 10, 2017, beginning at 9:30 a.m.

In this episode of MoFo Perspectives, Jordan Eth, co-chair of the Securities Litigation, Enforcement, and White Collar Defense Group...

The SEC’s Division of Economic and Risk Analysis released its analyses of data and academic literature relevant to pending money market fund reform.

On December 7, 2016, the "NASAA" proposed a model rule, a model statutory amendment and a Solicitation of Interest Form permitting testing the waters in Tier 1 Regulation A offerings...

For offerings that require state securities registration and review, clients often are concerned about the merit regulation standards. Certain of NASAA's Statements of Policy, for example, may pose significant issues.

Alistair Maughan and Gemma Anderson authored an article for Intelligent CXO outlining how a business can protect itself against litigation and commercial risk should third-party technology relationships...

On June 19, 2017, the NYSE withdrew its proposed rule, originally issued on March 13, 2017, to modify the provisions regarding the qualification of companies listing on the NYSE to allow for...

The Risk Alert summarizes deficiencies identified in more than 1,500 examinations completed during the past two years.

The OTC Markets has adopted rule changes for OTCQX and OTCQB to accommodate for Reg A + and require quarterly disclosure for the OTCQX marketplace.

The DERA of the Securities and Exchange Commission published a study recently that reviews, among other things, the performance of and the returns of investing in OTC stocks.

The M&A Journal interviewed Michael O'Bryan about his outlook for the M&A market in the aftermath of the COVID-19 pandemic.

At an open meeting this week, the SEC voted to propose changes to certain disclosure rules affecting public issuers including, among others, investment companies and business development companies (BDCs).

The SEC recently proposed amendments to require disclosure of whether employees and directors of public companies are permitted to hedge or offset any decrease in the market value of equity securities granted to them as part of a stock-based compensation plan or that are held by them.

On the same day that the SEC adopted changes to Rule 506 and Rule 144A in order to relax the prohibition against general solicitation, the SEC proposed for comment amendments to Form D, Regulation D and Rule 156.

On May 10, 2017, the SEC's Division of Economic and Risk Analysis (DERA) and New York University's Salomon Center for the Study of Financial Institutions will host a dialogue on Reviving the U.S. IPO Market.

NASDAQ Private Markets and Morrison & Foerster recently spoke about the process for a company that chooses to use general solicitation when raising capital in reliance on Rule 506.