Securex Compliance provides content to ensure filers and issuers remain up to date on relevant SEC© updates and industry news
Starting Tuesday, July 1st, 2014, the Dodd Frank required Municipal Advisor Form (Form MA) must be electronically filed using the SEC’s EDGARLink Online form filing site. All municipal advisor forms must be Live filed. The SEC© system does not permit…
Publisher: Lexology Authors: Dynda A. Thomas The Division of Corporation Finance has confirmed that there is a glitch in the EDGAR© filing system. EDGAR© is not accepting Exhibit 1.01 to the Form SD but is accepting Exhibit 1.02. Therefore, despite the Instructions…
SEC© Press Release The Securities and Exchange Commission today issued an order staying the effective date for compliance with the portions of Exchange Act Rule 13p-1 and Form SD that would require statements by issuers that the Court of Appeals…
Author: Keith F. Higgins, SEC© Division of Corporation Finance Published: April 29th, 2014 On April 14, 2014, the United States Court of Appeals for the District of Columbia Circuit issued a decision in National Association of Manufacturers, et al. v…
Publisher: NASPP At the same time that the IRS released regulations designed to clarify which restrictions constitute a substantial risk of forfeiture under Section 83, a recent tax court decision casts doubt on the definition in the context of employees…
Publisher: Reuters Author: Nate Raymond A U.S. appeals court is set hear a case whose outcome could make it harder for the government to prosecute insider trading and potentially jeopardize several high-profile guilty verdicts, including that of SAC Capital Advisors…
Publisher: Wall Street Journal Author: Andrew Ackerman US policy makers have begun taking steps to keep closer tabs on the ability of states and cities to raise money in the $3.7 trillion dollar municipal-bond market. The Treasury Dept has announced…
Publisher: Morrison Foerster LLP Author: Ze’-Ev Eiger On April 10th, 2014, the Division of Corporation Finance of the SEC© issued one revised and two new compliance and disclosure interpretations regarding crowd funding and Rule 147 under the Securities Act of…
Publisher: Dinsmore Authors: David Lavan, Andrew Gammill The SEC© has issued new guidance designed to help companies prepare their mandatory reports as the deadline approaches for publicly traded US companies to file new conflict mineral reports. Many companies have had…
Publisher: Mintz Levin Author: Chip Phinney In the past months, the SEC© has been stepping up its scrutiny of municipal bond offerings. In the last year alone, the SEC© has filed a number of enforcement actions against bond issuers and…