The legitimacy and scope of the SEC’s “disgorgement” remedy have been the focus of increasing scrutiny for the better part of the past decade. Among other things, two Supreme Court decisions in the past four years placed...more
2/4/2021
/ Appropriation ,
Disgorgement ,
Investors ,
Kokesh v SEC ,
Liu v Securities and Exchange Commission ,
NDAA ,
Popular ,
Sarbanes-Oxley ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Statute of Limitations
In a remarkable year for the equity markets in 2020, the increased use of Special Purpose Acquisition Companies (“SPACs”) to take companies public stands out as a defining trend. In 2020, well-known private businesses – like...more
1/26/2021
/ Collusion ,
Department of Justice (DOJ) ,
Division of Corporate Finance ,
Due Diligence ,
Federal Trade Commission (FTC) ,
Form S-1 ,
Hart-Scott-Rodino Act ,
Initial Public Offering (IPO) ,
Popular ,
Private Equity Firms ,
PSLRA ,
Publicly-Traded Companies ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Sherman Act ,
Special Purpose Acquisition Companies (SPACs)
While SEC FinHub’s new framework announced last week for identifying crypto-securities suggests continued resistance for those using digital assets to access capital markets, an SEC no-action letter issued the same day to...more
4/11/2019
/ Blockchain ,
Capital Markets ,
Digital Assets ,
Distributed Ledger Technology (DLT) ,
Howey ,
Initial Coin Offering (ICOs) ,
No-Action Letters ,
Offerings ,
Popular ,
Regulation A ,
Regulation D ,
Regulation S ,
Regulatory Agenda ,
Securities ,
Securities and Exchange Commission (SEC) ,
Token Sales