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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…
Publisher: Bloomberg.com Author: Robert Schmidt According to James Kidney, a recently retired SEC© trial attorney, the SEC© leaders are too “tentative and fearful” to bring many Wall Street leaders to heel after the 2008 crisis, echoing the regulator’s outside critics…
Publisher: Compliance Week Author: Tammy Whitehouse As regulators debate the issue of disclosure overload, major investors say they aren’t looking for less information, but perhaps less redundancy or less complexity. “Investors pretty much said to a person they're not turning…
Published: SECWhistleblowerAdvocate Author: Jordan Thomas A troubling practice that is frequently seen on the part of companies is the use of confidentiality agreements that purport to prevent employees or former employees from sharing any information – including information about potential…
Securities and Exchange Commission Press Release The SEC© announced that starting on March 18th, 2014, the fee rates applicable to most securities transactions will be set at $22.10 per million dollars. The assessment on security futures transactions will remain unchanged at…
The SEC© will remain open and operational in the event the federal government undergoes a lapse in appropriations on October 1. Any changes to the SEC's operational status after October 1 will be announced on this website. The SEC's current…
Reminder: SEC© and EDGAR© system are closed Monday, September 2, 2013 for Labor Day. The SEC© will be closed on Monday, September 2, 2013 in observance of the Labor Day holiday. With the SEC© closed, filers will not be permitted…
Publisher: Morrison & Foerster LLP Author: Daniel A. Nathan The SEC’s “large trader” rules that apply to clearing firms and certain other firms will kick in this November. Thanks to a recent SEC© release, some firms are getting a two-year…