Latest Dodd-Frank Posts
Mandate Withheld in Conflicts Minerals Case
Public Companies and Securities In a little known action, the Clerk of Court of the Unites States Court of Appeals for the District of Columbia issued an order in the conflicts minerals case to withhold issuance of a mandate until seven days after disposition of any timely petition for rehearing or petition for rehearing en banc. You can see […] Read more →
Court Invalidates Conflict Minerals Rule Because it Crosses First Amendment Line
Public Companies and Securities In the end, it’s pretty simple. The court held the conflicts minerals rule and statute embodied in Dodd-Frank violate the First Amendment to the extent the statute and rule... Read more →
SEC Lays Out Road Map on Disclosure Reform
Public Companies and Securities, Uncategorized Keith F. Higgins, Director, SEC Division of Corporation Finance, recently laid out the SEC staff’s approach to the much discussed disclosure reform initiative. Highlights are... Read more →
New C&DIs Contemplate Intrastate Crowdfunded Offerings
Broker-Dealer, Consumer Protection, Private Equity This week the SEC released three new Compliance and Disclosure Interpretations (C&DIs) relating to Rule 147, which applies to securities that exempt from registration pursuant... Read more →