On March 3, 2025, the Securities and Exchange Commission (the “SEC”) expanded the accommodations for the confidential submission and review of registration statements under the Securities Act of 1933 (the “Securities Act”) or...more
On December 20, 2024, the Securities and Exchange Commission (“SEC”) announced charges against two private companies and a registered investment advisor for failure to file a Form D in connection with exempt offerings under...more
1/7/2025
/ Cease and Desist ,
Civil Monetary Penalty ,
Disclosure Requirements ,
Exemptions ,
Failure-to-File ,
Form D Filing ,
Investment Adviser ,
Regulation D ,
Securities ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Unregistered Securities