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Category: SEC
In a significant move to bolster data protection, the Securities and Exchange Commission (SEC) has unveiled a revised Privacy Act rule, which we recently covered. This rule marks a pivotal shift in th....
Section 12(g) of the Securities Exchange Act is a pivotal regulation for companies close to becoming publicly traded entities. This section spells out specific thresholds that, when crossed, obligate ....
The Securities and Exchange Commission (SEC) has taken a significant step forward in enhancing cybersecurity measures for public companies. With the adoption of new rules, the SEC aims to strengthen c....
The Securities and Exchange Commission (SEC) has recently released important amendments to Rule 10b5-1, further refining insider trading regulations and offering more clarity to market participants. T....
On February 14, 2023, the SEC proposed significant revisions to the Privacy Act, which governs the handling of personal information within the federal government. These proposed changes aim to streaml....
As the SEC continues to focus on how public companies use non-GAAP measures, they have issued updated Compliance & Disclosure Interpretations (C&DIs) regarding their usage. Non-GAAP financial ....
Recently, the Securities and Exchange Commission (SEC) adopted new, final rules that provide new guidance for parties during a contested election. Now, the SEC requires all parties to use universal pr....
The Securities and Exchange Commission (SEC) has been working to enhance protections for investors and improve the operations of capital markets, and it recently announced that it had adopted rules to....
If you want to raise money for your business, there are several options available through a private offering. One example is SEC Regulation D Rule 506C. This rule was enacted in 2012, and it provides ....
Companies need to raise capital from time to time, and there are several ways they can do so. One of the most popular options today is called Regulation Crowdfunding, which is usually shortened to Reg....
If you would like to raise money by offering securities for sale to specific investors, you need to register with the Securities and Exchange Commission, also known as SEC. One of the ways to make th....
Insider trading has been one of the major focuses of the Securities and Exchange Commission (SEC) for a long time, and the SEC recently announced that it has adopted amendments to Rule 10b5-1. This ru....
Since the birth of the internet, cybersecurity has been an important topic. Just as companies are working hard to protect their confidential information from hackers, cybercriminals are working hard t....
Recently, the United States Securities and Exchange Commission (SEC) released a new plan for the fiscal years 2022 to 2026. Like other releases from the SEC, this plan is open to public comment. The p....
If you run a startup, you have a lot on your plate. You are focused on the quality of your products and services, hiring new employees, and managing your equity stake. One of your most important tools....
There are plenty of foreign companies that want to make offerings in the United States. Some foreign companies might be wondering, can non-US issuers make a Reg A or Reg CF offering? If they are allow....
The financial markets are changing quickly, particularly with respect to industrial applications and cryptocurrency. For a long time, the SEC has been receiving pressure to regulate and support these ....
Financial regulatory authorities have paid close attention to executive compensation structures during the past few years. Now, the SEC is adopting rules related to pay versus performance. Recently, t....
Private fund reporting has been a significant area of concern during the past few years, and the Securities and Exchange Commission (SEC) recently voted to propose amendments to Form PF. This is a con....
Recently, there has been a significant push from shareholders to increase transparency, and the Securities and Exchange Commission (SEC), has noticed. Recently, the SEC proposed changes to their benef....