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Fenwick & West LLP

SEC Staff Says Certain Protocol Staking Activities Don't Constitute the Sale of Securities

Fenwick & West LLP on

The SEC’s Division of Corporation Finance recently issued a statement on Certain Protocol Staking Activities, essentially articulating the Division’s view that “Protocol Staking Activities,” do not involve the offer and sale...more

Harris Beach Murtha PLLC

MA SJC Weighs In On Broker-Dealer Registration Requirements

Harris Beach Murtha PLLC on

The Massachusetts Supreme Judicial Court (SJC) recently considered a case discussing whether or not actions by a financial advisor rose to a level that triggered broker-dealer registration requirements. As part of the case,...more

Stinson - Corporate & Securities Law Blog

FINRA Relaxes Rules for M&A and Private Placement Brokers

Stinson - Corporate & Securities Law Blog on

The SEC has approved a series of FINRA rules that are meant to simplify regulation of firms engaged as M&A brokers and those who conduct other limited activities. While the rules may be simpler, it still looks like a...more

Stinson - Corporate & Securities Law Blog

SEC Publishes 11 Regulation A+ CD&Is

Stinson - Corporate & Securities Law Blog on

The SEC has published 11 Compliance and Disclosure Interpretations related to Regulation A+ — numbered 182.01 through 182.11 under Securities Act Rules. Highlights are: - Twitter is allowed for testing the waters! ...more

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