Latest Dodd-Frank Posts
SEC Issues FAQs on Exchange Act Registration Under JOBS Act
Executive Compensation, Public Companies and Securities The SEC has issued a series of frequently asked questions on Exchange Act registration under the JOBS Act. Anyone who registered under the Exchange Act before they were required to will be sorry. The FAQs state with respect to issuers that are not bank holding companies: If an issuer triggered a registration obligation before April 5, [...] Read more →
SEC Appoints Investor Advisory Committee
Investment Advisers, Private Equity, Public Companies and Securities, Uncategorized The SEC has announced the formation of a new Investor Advisory Committee required by the Dodd-Frank Wall Street Reform and Consumer Protection Act. The 21-member committee... Read more →
SEC Issues Report on Regulation D Offerings
Public Companies and Securities The SEC staff has issued a report entitled “Capital Raising in the U.S.: the Significance of Unregistered Offerings Using the Regulation D Exemption.” The report is dated... Read more →
SEC Begins Revamping Registration Process Following JOBS Act
Public Companies and Securities The SEC has issued a number of frequently asked questions outlining the interaction between confidential registration statements permitted under the JOBS Act and the balance of... Read more →