Capital markets in the United States provide an unparalleled source of investment capital, measured in trillions of dollars. U.S. markets and rules allow companies to raise funds on an expedited and economically efficient...more
8/3/2022
/ Beneficial Owner ,
Capital Markets ,
Disclosure Requirements ,
Emerging Growth Companies ,
Executive Compensation ,
Exemptions ,
Framework Agreement ,
Initial Public Offering (IPO) ,
New Regulations ,
Safe Harbors ,
Securities Act of 1933 ,
Shareholders
The SEC’s amendments mandate electronic filing of Form 144 and certain other documents, providing investors with more immediate access to information.
Individuals who wish to sell restricted securities that will require...more
Capital markets in the United States provide an unparalleled source of investment capital, measured in trillions of dollars. U.S. markets and rules allow companies to raise funds on an expedited and economically efficient...more
8/11/2021
/ Beneficial Owner ,
Capital Markets ,
Deferred Compensation ,
Disclosure Requirements ,
Executive Compensation ,
New Regulations ,
Reporting Requirements ,
Sarbanes-Oxley ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Exchange Act of 1934
On November 2, 2020, the Securities and Exchange Commission (SEC) adopted amendments to its exempt offering rules, including Regulation D and Regulation A (Amendments). Many of the Amendments largely harmonize the existing...more
11/16/2020
/ Crowdfunding ,
General Solicitation ,
Offerings ,
Regulation A ,
Regulation D ,
Rule 152 ,
Rule 506 Offerings ,
Safe Harbors ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Shelf Registration
An expanded universe of individuals and entities will be able to participate as “accredited investors” in securities offerings as a result of recent SEC rulemaking.
The SEC has expanded its definition of “Accredited...more
9/10/2020
/ Accredited Investors ,
Certifications ,
Federal Register ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Company Act of 1940 ,
Private Funds ,
Private Offerings ,
Proposed Amendments ,
Rural Business Investment Companies (RBICs) ,
Safe Harbors ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC)
The so-called “Fixing America’s Surface Transportation Act” or “FAST Act” was signed into law on December 4, 2015. Buried in the legislation are changes to the JOBS Act and the Securities Act of 1933 that add a statutory...more
Capital markets in the United States provide an unparalleled source of investment capital, measured in trillions of dollars, for companies located outside the United States. For non-U.S. companies (which we refer to in this...more
7/23/2015
/ Banking Sector ,
Beneficial Owner ,
Capital Markets ,
Corporate Governance ,
Disclosure Requirements ,
Financial Institutions ,
Foreign Corporations ,
Foreign Private Issuers ,
Private Offerings ,
Prudential Standards ,
Registration Statement ,
Regulatory Agencies ,
Securities Act of 1933 ,
Securities Exchange Act