Dodd-Frank Public Companies and Securities
SEC Finalizes Dodd-Frank Hedging Rules
Public Companies and Securities On December 18, 2018, the SEC approved final rules on hedging that require companies to disclose practices or policies related to the ability of employees or directors to engage in hedging transactions with respect to a company’s equity securities. The hedging rules, as mandated by Section 955 of the Dodd-Frank Act, add Item 407(i) to […] Read more →
The First CAM
Public Companies and Securities The first CAM I am aware of is in this SEC filing: Critical Audit Matter The critical audit matter communicated below is a matter arising from the current period audit of the... Read more →
SEC Brings Enforcement Action for Failure to Verify Accredited Investor Status
Litigation, Public Companies and Securities CoinAlpha Advisors LLC was formed for the purpose of investing in digital assets. From October 2017 through May 2018 CoinAlpha raised approximately $600,000 from 22 investors,... Read more →
Court Refuses to Issue Preliminary Injunction to Halt Initial Coin Offering
Litigation, Public Companies and Securities, Uncategorized In SEC v. Blockvest, LLC, the United States District Court for the Southern District of California examined the SEC’s argument for a preliminary injunction halting an initial... Read more →