Latest Dodd-Frank Posts
Blockstack Expects to be the First Regulation A+ Token Offering
Blockchain Technology, Public Companies and Securities According to this announcement, Blockstack expects to be the first SEC Regulation A+ qualified token offering. I’m not touting or endorsing the potential Blockstack offering. But viewing from the outside in, there’s a good chance they’re right. They are backed by a bona-fide VC firm that appears to want to devote the resources to do […] Read more →
Does a Requirement to Pay “Target Variable Compensation” Include Equity Awards?
Employment, Executive Compensation, Litigation, M&A, Public Companies and Securities In Batty v. UCAR International Inc. et al the Delaware Court of Chancery considered the terms of a severance agreement. The agreement, which was entered into in 2000, set the... Read more →
SEC Brings Actions Against Fifteen Unregistered Brokers for Their Participation in an Illegal Offering of Microcap Securities
Litigation, Public Companies and Securities The SEC charged fifteen individuals with acting as unregistered brokers or aiding-and-abetting such activity in connection with Intertech Solutions, Inc.’s fraudulent and... Read more →
NYSE Revises Shareholder Approval Rules for Certain Issuances of Securities
Public Companies and Securities The SEC has approved amendments to Sections 312.03 and 312.04 of the NYSE Listed Company Manual that modify the price requirements for certain exceptions to shareholder vote... Read more →