Latest Dodd-Frank Posts
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 exempt from registration pursuant to Section 3(a)(11) of the Securities Act because they were offered and sold only to residents of a single state, and were issued by a company transacting business in that state. […] Read more →
Minnesota Public Benefit Corporation Legislation Signed Into Law
Uncategorized A bill has been signed into law that brings public benefit corporations to Minnesota. The public benefit corporation is a relatively recent legal innovation that occupies a... Read more →
A Bad Turn for Reg A+ and Reg D?
Private Equity, Public Companies and Securities SEC Commissioner Luis A. Aguilar gave a speech to an annual conference of the North American Securities Administrators Association, otherwise known as NASAA. On the issue of Reg... Read more →
SEC Issues More FAQs on Conflict Minerals
Public Companies and Securities The SEC has issued nine additional frequently asked questions, or FAQs, on the SEC’s conflict reporting rules. Some of the highlights are: IPSA and DRC Conflict... Read more →