Category: SEC

SEC Shortens Settlement Cycle to T+1
  • Admin
  • May 30, 2024
The Securities and Exchange Commission (SEC) released a major update, changing the settlement cycle for U.S. securities transactions from two business days (T+2) to just one (T+1). This regulatory adj....
Navigating the New Landscape: The Impact of the SEC’s Revised Privacy Act Rule
  • Admin
  • Dec 08, 2023
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....
Understanding Section 12(g) of the Securities Exchange Act
  • Admin
  • Nov 14, 2023
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 ....
SEC Adopts Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies
  • Admin
  • Aug 07, 2023
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....
SEC Publishes Guidance On Rule 10b5-1 Amendments
  • Admin
  • Jul 14, 2023
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....
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 Additional C&DI On Use Of Non-GAAP Measures
  • Admin
  • May 09, 2023
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 ....
SEC Issues Additional Guidance Through New C&DI On The Use Of Universal Proxy Cards
  • Admin
  • Apr 12, 2023
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....
SEC Finalizes Rules to Reduce Risks in Clearance and Settlement
  • Admin
  • Mar 20, 2023
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....
Regulation D 506 Offering Requirements
  • Admin
  • Mar 15, 2023
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 ....
SEC Regulation CF Offering Requirements
  • Admin
  • Mar 11, 2023
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....
SEC Regulation A+ Offering Requirements
  • Admin
  • Mar 11, 2023
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....
SEC Adopts Amendments To Rule 10b5-1 Insider Trading Plans
  • Admin
  • Feb 15, 2023
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....
Proposed Rules On Cybersecurity Disclosure
  • Admin
  • Dec 24, 2022
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....
The SEC Drafts a Strategic Plan For Fiscal Years 2022 – 2026
  • Admin
  • Dec 12, 2022
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....
Why Startups should focus on their Cap Table
  • Admin
  • Dec 10, 2022
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....
Can Foreign Companies do a Reg A or Reg CF Offering?
  • Admin
  • Oct 14, 2022
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....
SEC to Add Industry Offices Focused on Crypto Assets and Industrial Applications
  • Admin
  • Sep 23, 2022
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 ....
The SEC Adopts Pay Versus Performance Disclosure Rules for Executives
  • Admin
  • Sep 23, 2022
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....
The SEC Proposes Amendments to Enhance Private Fund Reporting
  • Admin
  • Sep 20, 2022
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....