Category: SEC

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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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EDT
On May 4, 2020, the SEC adopted certain leverages to Regulation Crowdfunding offerings, providing conditional temporary relief for smaller companies on the suggestion given by  members of the SEC’s Small Business Capital Formation Advisory Committee. Under temporary relief, small companies must satisfy certain conditions in addition to the present Reg CF requirements to benefit from
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EDT
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-person meet-ups started in 2019. These meetings allow FinTech (Financial Technology) community to interact with FinHub and discuss their general issues, ask questions, or
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EDT
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 “virtual” annual meetings and flexibility in rules for date and location of the meetings. Background Pursuant to federal securities laws, many public companies and investment companies are
EDT
The Small Business Capital Advisory Committee held a meeting on February 2nd to discuss the Advocate for Small Business’s Capital Formation 2019 annual report, focusing on small business capital formation. The committee meeting was comprised of four panels; each of which had their own topic and key speakers. Panel I: Overview of Annual Report from
EDT
Over the last couple years, more and more companies have decided to go public. Whether it’s attracting a larger audience, establishing credibility with suppliers and vendors, or raising additional capital, there are many benefits to conducting an initial public offering. Finding the right approach and support group can be challenging but worth it. Here is