Morrison & Foerster LLP Author: Nilene Evans To improve member firm due diligence in private placements, FINRA has announced that firms must file pursuant to Rule 5123 (Private Placement of Securities) and Rule 5122 (Private Placements of Securities Issued by…
Publisher: Morrison & Foester In response to upcoming hurricane season, the securities and commodities industries regulators are encouraging firms to be diligent in preparing for the effects of potential natural disasters. The SEC, FINRA, and the CFTC have issued a…
Publisher: Cooley Venture Financing Report Cooley LLP has released its report providing a summary of data reflecting its findings in venture capital financing terms and trends. Information was gathered from transactions that Cooley oversaw as counsel either to the issuing…
Although the SEC's final rule relaxing the ban on general solicitation in certain Rule 506 offerings and Rule 144A offerings was highly anticipated, the final rule leaves open or raises a number of interesting questions. For more information regarding private…
As of May 20th, 2013, the SEC© has approved the new 2013 US GAAP Financial Reporting Taxonomy. Read about it here: http://www.accountingweb.com/article/us-gaap-financial-reporting-taxonomy-green-lighted-sec/221826
In response to a large number of recent inquires, this post is a reminder of the following annual filing requirements for certain SEC© Form Types. Form 13H: This is the first year for annual 13H filings. The annual filing on Form Type…
At the Thomson Reuters Governance Risk and Compliance Forum in Boston on Monday, experts discussed SEC© regulation and enforcement trends, emphasizing the SEC’s new practice of basing enforcement cases on charges of negligence, and its significance to firms and their…
The SEC© will be closed on Monday, January 17, 2011 in honor of the Martin Luther King, Jr. Day holiday. Filers will not be able to to submit EDGAR© filings as the system will be closed. Filings submitted after 5:30pm…
The SEC© has released an updated Compliance and Disclosure Interpretation (C&DI) comprising interpretations of the Oil and Gas Rules contained in Regulation S-X and Regulation S-K. The updated C&DI is available at: http://sec.gov/divisions/corpfin/guidance/oilandgas-interp.htm