Category: SEC Guidance

SEC Proposes Revision To The Privacy Act
  • Admin
  • May 16, 2023
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....
SEC Issues New Proposal to Increase Private Fund Investor Protection
  • Admin
  • Feb 19, 2022
Private fund investor protection has been a significant topic of discussion in the financial community during the past few years. Now, it appears that the Securities and Exchange Commission (SEC) has ....
SEC Issues Proposal to Reduce Risks in Clearance and Settlement
  • Admin
  • Feb 19, 2022
There are significant risks related to the clearance and settlement of certain securities. The Securities and Exchange Commission (SEC) has proposed certain rule changes to increase transparency and r....
SEC Proposes New Share Repurchase Disclosure Rules
  • Admin
  • Feb 15, 2022
There has been a significant amount of attention paid to market manipulation and insider trading during the past few years. Now, the SEC is proposing a new rule that targets a lot of these ongoing iss....
What is Rule 144 restricted stock?
  • Admin
  • Dec 11, 2021
Through Rule 144, any small business owner, or investor, can sell their restricted stock, or securities, on the public stock market without registering them with the SEC. This legislation is importan....
SEC Announces Meetups for FinTech and Investors
  • Admin
  • Jun 22, 2020
FinTech Meetup On June 11, 2020, the Strategic arm of the SEC for Innovation and Financial Technology (FinHub) announced the launch of virtual peer-to-peer meet-ups (P2Ps), as a solution to its in-pe....
SEC Encourages Virtual Annual Meetings
  • Admin
  • Apr 10, 2020
In view of the current pandemic, the Securities and Exchange Commission has published guidelines for all market participants to provide aid with their annual shareholder meetings by encouraging “vir....
SEC Analysis Matrix Regarding Digital Assets
  • Shelby Wayment
  • May 13, 2019
The SEC published a Framework for Investment Contract Analysis of Digital Assets on April 3, 2019. The analysis provides guidance for applying the Howey test to digital assets to determine if they ar....
New SEC Draft Strategic Plan
  • Shelby Wayment
  • Jun 15, 2018
In June of 2018 the Securities and Exchange Commission (SEC) released a draft strategic plan that prioritized investors, innovation, and performance. The plan will guide the SEC’s actions and goals ....
Regulation A+ Improvement Act of 2017 (H.R. 4263)
  • Shelby Wayment
  • Apr 24, 2018
The House of Representatives recently passed H.R. 4263 on March 15, 2018, titled the Regulation A+ Improvement Act. Regulation A+ is comprised of two separate tiers regarding offerings, titled Tier 1 ....
US Department of the Treasury Report on Capital Markets
  • Dan Carter
  • Mar 09, 2017
President Trump issued executive order 13,772 on February 3, 2017, which aimed to regulate the U.S. financial system with a set of core principles. In response, the U.S. Department of the Treasury pre....