The amended definition could provide a new means for the SEC to regulate crypto platforms.
We previously published a blog post on the set of proposed amendments (Proposal) issued on January 26, 2022, by the Securities...more
The Proposal would have a significant impact on current practices surrounding the use of Rule 10b5-1 plans by public companies and insiders.
On December 15, 2021, the Securities and Exchange Commission (SEC) issued a set...more
1/10/2022
/ 10b5-1 Plans ,
Affirmative Defenses ,
Comment Period ,
Corporate Governance ,
Disclosure Requirements ,
Insider Trading ,
Material Nonpublic Information ,
Proposed Amendments ,
Publicly-Traded Companies ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Regulation
The proposed amendments could significantly alter the landscape for extended settlement of securities offerings by expressly limiting the public offering exception for “when-issued” securities to equity IPOs.
Key Points:...more
In setting forth its rationale, FINRA observed that private placement retail communications reviewed by AdReg have “revealed significant and pervasive” violations of FINRA Rule 2210.
On October 28, 2020, the Financial...more
11/12/2020
/ Broker-Dealer ,
Client Communication ,
Comment Period ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Company Act of 1940 ,
Private Offerings ,
Private Placements ,
Proposed Amendments ,
Qualified Institutional Buyers ,
Regulation S ,
Retail Investors ,
Rule 144A ,
Rule 2210 ,
Securities and Exchange Commission (SEC)
The SEC proposes a welcome and significant increase in the 13F reporting threshold from US$100 million to US$3.5 billion.
On July 10, 2020, the US Securities and Exchange Commission (SEC) released a proposed rule amendment...more