Category: SEC

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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
We developed a comprehensive Equity Crowdfunding Chart Comparison below for all crowdfunding requirements that includes Reg A+ (Tier 1 and Tier 2), Reg D 506 C, and Reg CF. Our chart creates an easy-to-read visual representation of all the different requirements, so you can pick which form of crowdfunding works best for you. Requirements for […]
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 […]
EDT
Spotify recently drew attention from a controversial decision to go public without an initial public offering (IPO) in April. Spotify said they wanted to go public this way, through a direct listing or direct public offering (DPO), because the company could provide equal access to both buyers and sellers, while making the entire process more […]
EDT
On February 7, 2018, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) announced its annual examination priorities for 2018. The OCIE desires to ensure compliance by preventing fraud and managing risk. These 2018 policies will focus specifically on critical market infrastructure, retail investors, developments in cryptocurrency, initial coin offerings, and secondary […]