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Searching Content by Karen Garnett ordered by Published Date Descending.
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Hypothetical Risk Factors Pose A Real Risk
On July 24, 2019, the Securities and Exchange Commission (the "SEC") announced charges against Facebook Inc. ("Facebook")
United States
2 Aug 2019
2
SEC Announces New Approach To Disqualification Waivers
On July 3, 2019, SEC Chairman Jay Clayton issued a "Statement Regarding Offers of Settlement" (the "Statement"), announcing important changes to how the SEC will consider future requests for waivers from disqualifications...
United States
11 Jul 2019
3
SEC Proposes Rule Changes With Potential Benefits For Reits, Funds, And Business Development Companies
The Securities and Exchange Commission ("SEC" or "Commission") recently proposed a number of changes to Regulation S-X
United States
4 Jul 2019
4
SEC Gives Guidance On Securities Analysis For Digital Assets: TurnKey No-Action Letter And Framework Publication
The Securities and Exchange Commission ("SEC") recently issued highly anticipated guidance to assist market participants in determining whether a digital asset is offered and sold as a security
United States
14 May 2019
5
SEC Gives Guidance On Securities Analysis For Digital Assets
The Securities and Exchange Commission ("SEC") recently issued highly anticipated guidance to assist market participants in determining whether a digital asset is offered and sold as a security.
United States
10 May 2019
6
Proskauer Releases Annual U.S. IPO Study
International law firm Proskauer today released its sixth annual IPO Study, which offers comprehensive analyses of U.S.-listed initial public offerings that priced in 2018 and identification of IPO trends from 2014 to 2018.
United States
12 Mar 2019
7
SEC Proposes Reform Of "Test-The-Waters" Communications Rules
On February 19, 2019, the Securities and Exchange Commission (the "SEC") proposed Rule 163B under the Securities Act of 1933
United States
1 Mar 2019
8
SEC Brings Enforcement Proceedings On Non-GAAP Financial Disclosure
The company settled the action, agreeing to pay a civil money penalty of $100,000.
United States
18 Jan 2019
9
New 20% Rule Offers Greater Clarity And Flexibility For Nasdaq-Listed Companies
On September 26, 2018, the Securities and Exchange Commission approved The Nasdaq Stock Market LLC's proposal to modify the so-called "20% Rule" contained in Nasdaq Listing Rule 5635(d).
United States
12 Oct 2018
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