Yesterday the Securities and Exchange Commission proposed rules under the JOBS Act that would permit startups and other businesses to raise investment capital through “crowdfunding” ?...
On October 14, 2013, FINRA issued a Report on Conflicts of Interest. The report summarizes FINRA’s observations following an initiative, launched in July 2012, to review conflict manag...
The SEC has posted on its website that it “will remain open and operational in the event the federal government undergoes a lapse in appropriations on October 1. Any changes to the SEC...
The PCAOB recently proposed two auditing standards in an effort to improve the auditor’s report that accompanies annual financial statements: The Auditor’s Report on an Audit of Fina...
On July 10, 2013, the SEC adopted amendments to the Regulation D and Rule 144A private-placement safe harbors, which will eliminate the prohibition on widespread advertising and other for...
On July 23, Judge Robert L. Wilkins of the U.S. District Court for the District of Columbia rejected a lawsuit brought by the National Association of Manufacturers, the Chamber of Commerc...
Today the SEC adopted amendments to its private offering safe harbors as mandated by the JOBS Act of 2012. These amendments to Rule 506 and Rule 144A under the Securities Act of 1933 will...
On May 30 the staff of the Securities and Exchange Commission issued interpretive guidance on the SEC’s new conflict minerals rules. The guidance, which is consistent with the discussio...
On April 22, 2013, the Financial Industry Regulatory Authority (“FINRA”) issued an Interpretive Letter to ALPS Distributors, Inc. setting forth guidance regarding the use of pre-incep...
A working group of the International Organization of Securities Commissions (IOSCO), the Madrid-based international policy forum for securities regulators from more than 115 jurisdictions...
