Registration Requirement, Comment Period, Disclosure Requirements

Deadline Approaches for Comments on NASAA Proposed Model Franchise Broker Law

Polsinelli on 8/4/2025

Key Takeaways: The North American Securities Administrators Association (NASAA) has proposed a Model Franchise Broker Registration Act that would require franchise brokers and their representatives to register with...more

SEC Proposes Welcome Changes to Rule 701 and Form S-8

Wilson Sonsini Goodrich & Rosati on 12/16/2020

The U.S. Securities and Exchange Commission (SEC) recently proposed for comment amendments to Rule 701 and Form S-8 to address the major changes that have taken place in recent years in companies' compensation practices and...more

SEC Proposes Exemption From Broker Registration for Certain Municipal Advisors - The U.S. Securities and Exchange Commission seeks...

Jones Day on 10/11/2019

The U.S. Securities and Exchange Commission ("SEC") is seeking comments on a proposed exemptive order granting a conditional exemption from broker registration requirements for certain activities of municipal advisors....more

Rule 701 Additional Disclosure Threshold Raised To $10m; SEC Solicits Comments To Modernize Compensatory-Related Offerings Under...

Womble Bond Dickinson on 7/30/2018

Last week, the U.S. Securities and Exchange Commission (the “SEC”) (i) approved the increase of the threshold at which private companies must provide financial disclosures in private company compensatory Rule 701 offerings...more

SEC Increases Rule 701 Disclosure Threshold and Issues Concept Release Regarding Modernization of Compensatory Securities...

Fenwick & West LLP on 7/20/2018

Increased 701 Disclosure Threshold - The U.S. Securities and Exchange Commission unanimously voted on July 18 to adopt final amendments to Rule 701, which provides private companies an exemption from registration for...more

Registration Requirement › Comment Period › Disclosure Requirements

Deadline Approaches for Comments on NASAA Proposed Model Franchise Broker Law

SEC Proposes Welcome Changes to Rule 701 and Form S-8

SEC Proposes Exemption From Broker Registration for Certain Municipal Advisors - The U.S. Securities and Exchange Commission seeks...

Rule 701 Additional Disclosure Threshold Raised To $10m; SEC Solicits Comments To Modernize Compensatory-Related Offerings Under...

SEC Increases Rule 701 Disclosure Threshold and Issues Concept Release Regarding Modernization of Compensatory Securities...

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