On March 3, 2025, the staff of the Securities and Exchange Commission's (SEC) Division of Corporation Finance (the Division) announced that it enhanced certain existing accommodations under the Jumpstart Our Business Startups...more
On December 14, the Securities and Exchange Commission (SEC) unanimously adopted amendments to Rule 10b5-1 and related regulations governing "10b5-1 Plans." 10b5-1 Plans enable (1) public company insiders to sell their...more
12/28/2022
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Securities ,
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Stock Repurchases
SEC/CORPORATE -
SEC Announces Proposed Amendments to the Definitions of “Accredited Investor” and “Qualified Institutional Buyer” -
On December 18, the Securities and Exchange Commission voted to propose amendments...more
12/23/2019
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Broker-Dealer ,
CFTC ,
Comment Period ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Investment Advisers Act of 1940 ,
Investment Company Act of 1940 ,
Libor ,
New Rules ,
Private Placements ,
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Public Comment ,
Qualified Institutional Buyers ,
Resource Extraction ,
Rule 144A ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Security-Based Swaps
SEC/CORPORATE -
SEC Staff Announces Changes to Rule 14a-8 No-Action Request Process -
On September 6, the staff of the Division of Corporation Finance (the Staff) of the Securities and Exchange Commission announced...more
9/16/2019
/ Broker-Dealer ,
CFTC ,
Consolidated Audit Trail ,
Corporate Governance ,
EMIR ,
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Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Markets ,
No-Action Letters ,
No-Action Requests ,
Proposed Amendments ,
Regulation Best Interest ,
Rule 14a-8 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
SEC/CORPORATE -
SEC Amends the Definition of “Smaller Reporting Company” -
On June 28, the Securities and Exchange Commission announced that it adopted amendments to the definition of “smaller reporting company,” which...more
7/23/2018
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Bitcoin ,
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Smaller Reporting Companies ,
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UK Brexit ,
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Volcker Rule
On December 11, the Securities and Exchange Commission proposed Rule 13q-1 of the Securities Exchange Act of 1934 (Exchange Act), often referred to as the “resource extraction rule,” which would require an issuer to disclose...more