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SEC Announces Small and Emerging Companies Advisory Committee Agenda
The SEC has announced the agenda for a meeting of its Advisory Committee on Small and Emerging Companies being held this Friday, February 1st. The Committee will consider recommendations about: •...
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Beware Inside Traders: SEC has “57 Varieties” of Ways to Get You!
The SEC announced last Friday that it had obtained an emergency court order to freeze assets in a Zurich, Switzerland-based trading account that allegedly was used to reap more than $1.7 million in...
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Land of Honest Abe – Not So Honest?
In March, the SEC announced that it had charged the State of Illinois with securities fraud for misleading municipal bond investors about the state’s approach to funding its pension obligations. This...
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You Can’t Shoot Zombie Directors!
Recently, investor advocacy groups have focused on so-called “zombie directors” – directors of public companies who are elected despite failing to garner a majority of stockholders’ votes in...
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SEC Adopts “Me Too” Amendments for Rule 144A
As part of amendments to Regulation D, and as required by the JOBS Act, the SEC adopted an amendment to Rule 144A to provide that securities sold under that Rule may be offered to persons other than...
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Burn, Baby, Burn – Reg D Inferno*
A recent report issued by SEC’s Division of Economic and Risk Analysis shows that Regulation D remained “hot” as a means to raise capital – even before the recent amendments to that rule take effect....
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Is Less More? SEC Chair White Speaks on the Future of Disclosure Reform
SEC Chair Mary Jo White spoke about the future of securities disclosure reform in a speech yesterday before the National Association of Corporate Directors. Ms. White noted that a common problem today...
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Insider Trading Updates: Cuban Jury to SEC – No Cigar; Heinz Tippees Revealed...
The SEC loses some and wins some insider trading cases: The SEC’s five year old insider trading case against Dallas Mavericks owner, Mark Cuban, came to a sad conclusion for the SEC on Wednesday when a...
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2013 SEC Government-Business Forum on Small Business Capital Formation
The SEC will hold its 2013 SEC Government-Business Forum on Small Business Capital Formation on November 21, 2013. A major purpose of the Forum is to provide a platform to highlight perceived...
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SEC Proposes “Regulation A+” Amendments
The SEC has proposed regulations to amend Regulation A as required by the Jumpstart Our Business Startups Act (JOBS Act). Title IV of the JOBS Act directed the SEC to write regulations providing for...
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