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EDT
On Sept. 16, 2020, the SEC adopted amendments to Exchange Act Rule 15c2-11 directing broker-dealers not to publish security quotations in the absence of issuer’s current information, subject to certain exceptions. The amended rule enhances the efficiency of the OTC market and facilitates capital formation for issuers. Exchange Act Rule 15c2-11 is an essential component
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EDT
The financing and Initial Public Offering transactions for the month of August 2020 are posted below. These transactions were filed as S-1, F-1, and 1-A filings. To learn more about our IPO services, contact us. Date Form Type Company Name Underwriter Legal Counsel Price Shares Offering Amount  8/3/2020 F-1 Lion Group Holding Ltd N/A Ogier
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EDT
Title IV Regulation A+ allows companies to raise up to $50 million per year, a process that many people refer to as “Mini-I.P.O.” Ever since the SEC announced exemptions and leverages in Regulation A+, we have been witnessing new crowdfunding platforms eager to take a plunge in the vast money pile like uncle scrooge. But
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EDT
The financing and Initial Public Offering transactions for the month of July 2020 are posted below. These transactions were filed as S-1, F-1, and 1-A filings. To learn more about our IPO services, contact us. Date Form Type Company Name Underwriter Legal Counsel Price Shares Offering Amount 7/7/2020 F-1 Centogene N.V.  Suisse Securities (USA) LLC
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EDT
On July 22, 2020, the SEC adopted amendments to its rules that exempt solicitors from furnishing proxy voting advice from the information and filing requirements of the federal proxy rules and issued supplemental guidance on Proxy Voting responsibilities of investment advisers. The adopted amendments aim at providing investors transparent, accurate, and complete information without imposing
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EDT
On June 25, 2020, five agencies, including the OCC, Board, FDIC, SEC, and CFTC, adopted amendments to Section 13 of the BHC Act, also known as the Volcker Rule. OCC here refers to Department of Treasury, Office of the Comptroller of the Currency Board refers to the Federal Reserve System FDIC refers to the Federal
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EDT
On June 18th, 2020, The Office of the Advocate for Small Business Capital Formation virtually hosted the SEC’s 39th annual Government-Business Forum on Small Business Capital Formation. The SEC Chairman Jay Clayton, Commissioner Hester M. Peirce, Commissioner Elad L. Roisman, and Commissioner Allison Herren Lee gave introductory remarks. Given below are excerpts from the chairman
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EDT
The financing and Initial Public Offering transactions for the month of June 2020 are posted below. These transactions were filed as S-1, F-1, and 1-A filings. To learn more about our IPO services, contact us. Date Form Type Company Name Underwriter Legal Counsel Price Shares Offering Amount 6/1/2020 F-1 Titan Medical Inc N/A Borden Ladner
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EDT
On June 22, 2020, the Securities and Exchange Commission and the Antitrust Division of the Department of Justice signed an inter-agency MOU for enhancing competition in the securities industry. Assistant Attorney General Makan Delrahim of the Antitrust Division and the SEC Chairman Jay Clayton executed the historic Memorandum of Understanding. SEC Chairman Jay Clayton said
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