Ropes & Gray’s PEP Talk: General Solicitation by Private Equity Funds Under 506(c)
Corp Fin continues its project of updating CDIs. This new tranche relates to effectiveness of Form S-3 relative to timing of filing of Forms 10-K and proxy statements, allowing non-automatically effective Forms S-3 to be...more
On March 21, 2022, the U.S. Securities and Exchange Commission (SEC) issued a Notice of Proposed Rulemaking on the “Enhancement and Standardization of Climate-Related Disclosure for Investors” (Proposed Rule). Per the SEC’s...more
On October 30, 2015, the Securities and Exchange Commission (“SEC”), by a 3-1 vote, adopted the long-anticipated final rules permitting federal crowdfunding (“Title III Crowdfunding”), providing a potentially attractive...more
The Alberta Securities Commission (ASC) has always had the power to compel Registrants, Reporting Issuers, and others to produce records in the course of an investigation. Section 93.4 of the Securities Act (Alberta) has also...more