Dodd-Frank Public Companies and Securities
SEC Finds Initial Coin Offerings Can be Securities
Blockchain Technology, Crowdfunding, Public Companies and Securities The SEC issued an investigative report cautioning market participants that offers and sales of digital assets by “virtual” organizations are subject to the requirements of the federal securities laws. Such offers and sales, conducted by organizations using distributed ledger or blockchain technology, have been referred to, among other things, as “Initial Coin Offerings” or... Read more →
SEC Commissioner Supports Mandatory Shareholder Arbitration
Litigation, Public Companies and Securities Reuters is reporting that SEC Commissioner Michael Piwowar urged IPO companies to request relief from the SEC to include mandatory arbitration provisions for shareholder disputes.... Read more →
New SEC Chair Announces Guiding Principles
Banking, Broker-Dealer, Public Companies and Securities In remarks before the Economic Club of New York, new SEC Chairman Jay Clayton discussed eight guiding principles: Principle #1: The SEC’s mission is our touchstone. Investors... Read more →
CPA Can’t be a Whistleblower for Non-Public Entities
Employment, Executive Compensation, Litigation, Public Companies and Securities Reyher v. Grant Thornton, LLP analyzed whether an employee of a CPA firm is protected by the anti-retaliation provisions of the Dodd-Frank Act for lodging complaints with an... Read more →