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Searching Content indexed under Securities by Foley Hoag LLP ordered by Published Date Descending.
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1
Guidance Regarding Implementation Of Inline XBRL Rules
In 2018, the SEC adopted rules requiring the use of Inline eXtensible Business Reporting Language, often referred to as XBRL,
United States
12 Sep 2019
2
I Always Feel Like Somebody's Watching Me. . .
Issuers would be well-advised to take note of the SEC's recently announced $200,000 settlement of an enforcement action
United States
12 Sep 2019
3
SEC OCIE Risk Alert Update: Supervision Of Disciplined Individuals
On July 23, 2019, the Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) released
United States
21 Aug 2019
4
SEC Proposes Rule Changes Intended To Streamline Disclosures Of Business Operations, Risk Factors And Legal Proceedings
The SEC recently proposed revisions to Regulation S-K to streamline public companies' disclosures of their business operations, risk factors and legal proceedings.
United States
19 Aug 2019
5
Form SHL: Report of Foreign Residents' Holdings of U.S. Securities Due August 30, 2019
Investment advisers, hedge and private fund managers and U.S.-resident entities should review whether they have any filing obligations under Treasury International Capital ("TIC")
United States
19 Aug 2019
6
Massachusetts Regulators Placing Increased Focus On Cannabis-Related Securities Offerings
Massachusetts Secretary of State Bill Galvin and his Securities Division are increasingly turning their attention toward securities offerings in the cannabis industry
United States
4 Jul 2019
7
Investment Adviser Agrees To Pay $5 Million For Compliance Deficiencies In Valuing Client Assets
On June 4, 2019, the SEC announced that Deer Park Road Management Company, LP, a prominent private fund manager in the mortgage-backed securities space and registered investment adviser...
United States
13 Jun 2019
8
SEC Announces Meeting To Consider Amendments To "Accelerated Filer" And "Large Accelerated Filer" Definitions
Yesterday, the SEC announced that it would hold a public meeting on Thursday, May 9, 2019 to consider whether to propose amendments to the "accelerated filer"
United States
20 May 2019
9
SEC Proposes Amendments To "Accelerated Filer" And "Large Accelerated Filer" Definitions
Yesterday, the SEC announced that it is proposing amendments to the "accelerated filer" and "large accelerated filer" definitions to "reduce costs without harming investors for certain smaller public companies...
United States
16 May 2019
10
Trends In Securities Enforcement Discussed At BBA's White Collar Conference
We have been writing about white-collar enforcement trends discussed at the Boston Bar Association's recent White Collar Crime Conference (see here and here). Today we look
United States
16 May 2019
11
UPDATE: SEC Adopts Streamlined Process For CTR Extensions
Just hours after our recent blog post regarding the need to use the traditional process for CTR extensions, the SEC announced the adoption of a new streamlined process for CTR extensions.
United States
9 May 2019
12
Trap For The Unwary: You Still Need To Renew Confidential Treatment Requests Filed Under The Old Rules
A confidential treatment order for information redacted from an exhibit is about to expire. Under SEC rules that took effect last week (see our prior blog posts here and here),
United States
2 May 2019
13
Supreme Court Extends Securities Fraud Liability To Knowing Dissemination Of False Statements Made By Others
Recently, in Lorenzo v. Securities and Exchange Commission, No. 17-1077, the Supreme Court held that an investment banker had committed securities fraud by copying and pasting false statements.
United States
1 May 2019
14
SEC Staff Issues Additional Guidance On Exhibit Redactions
The SEC staff has issued supplemental guidance regarding its new rules for the redaction of confidential information from certain exhibits, which take effect today.
United States
15 Apr 2019
15
SEC Continues Its Disclosure Simplification Initiative
A few changes will require modest additional disclosures.
United States
11 Apr 2019
16
Possible Expansion Of "Testing The Waters" For Securities Offerings
In apparent recognition of the popularity of "testing the waters" by EGCs before proceeding with an IPO, the Securities and Exchange Commission recently voted to propose an expansion of this accommodation to all companies.
United States
4 Mar 2019
17
Important Dates And Reminders For Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors And Commodity Pool Operators - February 12, 2019
Important Dates And Reminders For Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors And Commodity Pool Operators - February 12, 2019
United States
20 Feb 2019
18
Protect Your Rule 10b5-1 Plans From Attack: Best Practices
A single annual plan is stronger than four quarterly plans.
United States
18 Feb 2019
19
And The Beat Goes On . . . Nasdaq Comments On The Shutdown
Proving that where there's a will, there's a way, the U.S. capital markets continue to push forward as the political stalemate at the heart of the federal government shutdown continues.
United States
31 Jan 2019
20
Public Offerings May Continue, Despite SEC Shutdown
The SEC's Division of Corporation Finance has posted helpful FAQs about the impact of the government shutdown on registration statements for public offerings
United States
21 Jan 2019
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