Latest Dodd-Frank Posts
SEC Wants Municipalities to Self-Report Violations — MCDC
Litigation The SEC has announced a new cooperation initiative out of its Enforcement Division to encourage issuers and underwriters of municipal securities to self-report certain violations of the federal securities laws rather than wait for their violations to be detected. Under the Municipalities Continuing Disclosure Cooperation, or MCDC, Initiative, the Enforcement Division will recommend standardized,... Read more →
Reg 506(b) Offerings Continue to Dominate Regulation D Practice
Private Equity, Public Companies and Securities, Uncategorized A recent study by Crowdnetic indicates Regulation D offerings under Rule 506(b) without general solicitation continue to dominate over Rule 506(c) offerings with general... Read more →
Alleged Securities Fraud at Dewey & LeBoeuf
Consumer Protection On March 6, 2014, the SEC brought charges of securities fraud against a handful of executives and finance professionals from the now-defunct global mega-firm Dewey &... Read more →
The Auditing Roundtable Releases Guidance for Conflict Minerals IPSA Performance Audits
Public Companies and Securities Certain companies subject to the conflict minerals rules requirement must commission an independent private sector audit, or IPSA, of certain sections of the conflict minerals... Read more →