On June 4, the US Securities and Exchange Commission (SEC) published a concept release soliciting public comment on potential amendments to the definition of foreign private issuer (FPI) under US securities laws....more
6/25/2025
/ Capital Markets ,
Disclosure Requirements ,
Foreign Private Issuers ,
Investment ,
Proposed Amendments ,
Proposed Rules ,
Publicly-Traded Companies ,
Regulatory Oversight ,
Regulatory Reform ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
StraightPath Venture Partners, LLC and PMAC Consulting have recently reached settlements with the US Securities and Exchange Commission (SEC) following SEC enforcement actions against them....more
2/28/2025
/ Broker-Dealer ,
Enforcement Actions ,
Financial Services Industry ,
Fraud ,
Penalties ,
Registration Requirement ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Securities Regulation ,
Securities Violations ,
Settlement
Last November, Nasdaq proposed a rule change that would lengthen the notification period for companies conducting reverse stock splits from five business days to 10 calendar days. The rule change became effective immediately...more
1/16/2025
/ Capital Markets ,
Compliance ,
Corporate Governance ,
Disclosure Requirements ,
Financial Industry Regulatory Authority (FINRA) ,
Listing Rules ,
Nasdaq ,
Proposed Rules ,
Reverse Stock Splits ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Securities Regulation