SEC

Subscribe to SEC via RSS

SEC’s Proposed Rules for Expedited Settlement May Impact Long-Standing Exception for Firm Commitment Offerings

By Steve Quinlivan on 09/29/2016

…
Continue Reading SEC’s Proposed Rules for Expedited Settlement May Impact Long-Standing Exception for Firm Commitment Offerings

SEC Enforcement Actions for Failure to Report Sales of Unregistered Securities

By Steve Quinlivan on 09/27/2016

…
Continue Reading SEC Enforcement Actions for Failure to Report Sales of Unregistered Securities

SEC Suspends Regulation A+ Offering

By Steve Quinlivan on 09/16/2016

…
Continue Reading SEC Suspends Regulation A+ Offering

SEC Charges Private Equity Advisor with Conflicts for Law Firm Discounts

By Steve Quinlivan on 09/15/2016

…
Continue Reading SEC Charges Private Equity Advisor with Conflicts for Law Firm Discounts

SEC’s Use of Form PF in Examinations

By Steve Quinlivan on 09/02/2016

…
Continue Reading SEC’s Use of Form PF in Examinations

Preliminary Planning for the 2017 Proxy Season

By Steve Quinlivan on 08/31/2016

…
Continue Reading Preliminary Planning for the 2017 Proxy Season

SEC Proposes Amendments to Require Hyperlinks to Exhibits in Filings

By Steve Quinlivan on 08/31/2016

…
Continue Reading SEC Proposes Amendments to Require Hyperlinks to Exhibits in Filings

Recent SEC Enforcement Actions Prompt Consideration of Whistleblower Carve-outs

By Steve Quinlivan on 08/30/2016

…
Continue Reading Recent SEC Enforcement Actions Prompt Consideration of Whistleblower Carve-outs

SEC Awards Culpable Whistleblower $22 Million

By Steve Quinlivan on 08/30/2016

…
Continue Reading SEC Awards Culpable Whistleblower $22 Million

SEC Requests Comment on Corporate Governance, Management and Security Holder Matters

By Steve Quinlivan on 08/27/2016

…
Continue Reading SEC Requests Comment on Corporate Governance, Management and Security Holder Matters