In a suit against Volkswagen filed last week, the SEC alleges that the company committed fraud in connection with offerings of its corporate and collateralized debt. This latest U.S. enfo...
Yesterday the Securities and Exchange Commission proposed a broad expansion of the popular “testing the waters” provisions to all companies, including seasoned reporting companies, sm...
Due to the government shutdown, SEC staff members will not consider requests for acceleration or qualification of registration or offering statements until further notice. Companies may, ...
In a recent speech, SEC Chair Jay Clayton highlighted three areas of risk disclosure that the regulator plans to monitor in the upcoming filing season: (1) the impact of Brexit, the Unite...
In a pair of settled enforcement actions involving initial coin offerings that the SEC deemed to be illegal unregistered securities offerings, the agency imposed an agreed-upon remedy tha...
On October 31, 2018, the SEC adopted final rules modernizing disclosure requirements for companies with material mining operations (excluding oil and gas) as part of its ongoing “disclo...
On July 24, 2018, the Securities and Exchange Commission proposed amendments to the financial disclosure requirements in SEC-registered offerings that apply to guarantors and issuers of g...
On July 18, 2018, the Securities and Exchange Commission (SEC) voted unanimously both to issue a final rule and to solicit public comment relating to the federal securities rules that gov...
An initial public offering is a key inflection point for a company, not least because it often triggers the opportunity to review and replace the company’s corporate governance structur...
As part of the SEC’s continuing effort to streamline disclosure for smaller companies, the Securities and Exchange Commission announced on June 28 that it had adopted a final rule to re...
