Latest Dodd-Frank Posts
Dodd-Frank Rollback Requires Changes to Regulation A+ and Rule 701
Public Companies and Securities The Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155), which is primarily aimed at easing regulations on community banks, also contains provisions designed to facilitate capital formation. President Trump signed the bill into law on May 24, 2018. Section 508 of the bill directs the SEC to revise Regulation A+ to permit public […] Read more →
SEC Issues FAQs on Compensation Plan Proposals Included in Proxy Statements
Employment, Executive Compensation, Public Companies and Securities The SEC has issued a series of frequently asked questions, which in SEC speak are referred to as Compliance and Disclosures Interpretations (or C&DIs for short), on proxy... Read more →
Longfin, Rule 144 and Affiliate Status
Litigation, Public Companies and Securities The United States District Court for the Southern District of New York recently issued an opinion granting a preliminary injunction with respect to alleged Section 5 violations by... Read more →
SEC Proposed Interpretive Guidance for Investment Advisers: Implications for Private Equity
Investment Advisers, M&A The SEC’s recent proposed guidance for investment advisers has implications for private equity sponsors. Perhaps the most important part of the guidance for private equity... Read more →