News & Analysis as of

Reporting Requirements Small Business Securities and Exchange Commission (SEC)

Cooley LLP

Corp Fin Continues to Make Reg A Offerings Easier to Conduct

Cooley LLP on

Last month, Corp Fin’s Office of Small Business Policy issued no-action relief to a company from the requirement to file an annual report on Form 1-K under Regulation A – despite the fact that the company didn’t qualify for...more

Verrill

New Reporting and Penalties for Small Business Owners

Verrill on

In the United States of America, what do a small restaurant owner, a real estate developer who wants to keep properties separate, a mom-and-pop store with fewer than 20 employees and a drug cartel shell company all have in...more

White & Case LLP

The Anti-Money Laundering Act of 2020—Expanding Anti-Money Laundering Reporting Responsibilities to Small Businesses

White & Case LLP on

As 2020 closed, Congress passed the annual National Defense Authorization Act, which embedded an unrelated set of provisions called the Anti-Money Laundering Act of 2020 ("AMLA-2020" or "the Act"). AMLA mandates disclosures...more

Brownstein Hyatt Farber Schreck

More Coronavirus Updates from the SEC

SEC Issues New Order Further Extending Temporary Filing Deadline Extension for Public Companies; Also Issues Additional Guidance on COVID-19 Disclosure - On March 25, 2020, the U.S. Securities and Exchange Commission (SEC)...more

Skadden, Arps, Slate, Meagher & Flom LLP

Capital Markets Alert – Public Market Advocacy Groups Release Guidance

On April 27, 2018, the Securities Industry and Financial Markets Association (SIFMA), the U.S. Chamber of Commerce and Nasdaq, along with certain technology and biotechnology groups, released a policy paper titled “Expanding...more

Proskauer Rose LLP

Spending Legislation Contains Long-Awaited Reforms for BDCs

Proskauer Rose LLP on

On March 23, 2018, Congress passed and President Trump signed the Consolidated Appropriations Act of 2018, the omnibus spending bill to fund the federal government through September. The spending bill included the Small...more

Troutman Pepper Locke

Regulation A+: For Smaller Companies (and ICOs) a Better Way to Go Public?

Troutman Pepper Locke on

With the proliferation of smaller companies seeking to grow their businesses, gain credibility and access capital, Regulation A+ is now increasingly being used as a fundraising tool. ...more

Stinson - Corporate & Securities Law Blog

House Acts to Place Additional Limitations on SEC Rulemaking

With its passage of the SEC Regulatory Accountability Act last week, the U.S. House of Representatives has taken action to place additional constraints on future rulemaking by the Securities and Exchange Commission; however,...more

Goodwin

Financial Services Weekly News - August 2016 #2

Goodwin on

Editor's Note - OATS Reporting Violations and FINRA Enforcement. FINRA’s Order Audit Trail System (OATS), is an integrated audit trail of order, quote and trade information for all NMS stocks and OTC equity securities,...more

Morrison & Foerster LLP - JOBS Act

SEC Proposes to Amend Smaller Reporting Company Definition

In the years following the JOBS Act, which created the term “emerging growth company” and made available certain disclosure and other accommodations to companies that qualified as EGCs, there has been renewed focus on scaled...more

Stinson - Corporate & Securities Law Blog

SEC Proposes Increasing Threshold to Qualify as a Smaller Reporting Company

The SEC has proposed amendments that would increase the financial thresholds in the “smaller reporting company” definition. The proposal to update the definition would expand the number of companies that qualify as smaller...more

Morrison & Foerster LLP

SEC Adopts Interim Final Rules to Implement FAST Act Provisions

On January 13, 2016, the Securities and Exchange Commission (the “SEC”) adopted interim final rules to implement Sections 71003 and 84001 of the Fixing America’s Surface Transportation Act (the “FAST Act”). The interim final...more

Morrison & Foerster LLP - JOBS Act

Treatment of “Finders” and Disclosure Effectiveness Discussed at SEC Advisory Committee Meeting

During their July 15 open telephone meeting, the SEC’s Advisory Committee on Small and Emerging Companies continued discussion on the regulatory treatment of “finders” and disclosure effectiveness relating to small...more

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