Category: SEC

EDT
On September 24th of this year, all five SEC commissioners were invited to attend a House Financial Services Committee Hearing. This marked the first time the full commission attended a hearing since 2007, a full dozen years prior. The hearing was officially entitled “Oversight of the Securities and Exchange Commission: Wall Street’s Cop on the […]
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EDT
The Office of Compliance Inspections and Examinations (OCIE) of Securities and Exchange Commission (SEC) has revealed its examination priorities for the year 2019, on December 20, 2018. Every year OCIE publishes its examination priorities to emphasize its commitment to transparency, and promote it in the examination programs. The OCIE examination priorities are provided to give […]
EDT
On December 19, 2018, the SEC adopted final rules to allow current Exchange Act reporting companies to utilize Regulation A+, also known as the “mini-IPO offering”. Reg A+ provides an exemption from public registration, utilizing two separate offering tiers. Under Tier 1, companies can raise up to $20 million in a 12-month period, while Tier 2 allows issuers […]
EDT
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 through 2022. The plan is in accordance with the Government Performance and Results Modernization Act of 2010, which mandates that all federal agencies outline missions […]