Searching Content indexed under Corporate/Commercial Law by David Feldman ordered by Published Date Descending.
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Lawsuit Seeks Exemption From Broker Registration For Private Placement Finders
A few months ago, a real estate company brought an action against the Securities and Exchange Commission, and apparently the SEC now has been served
United States
12 Aug 2019
Nasdaq To Limit Reg A+ To Seasoned Companies
Last month, the Nasdaq quietly submitted a proposal to the SEC regarding Regulation A+.
United States
30 May 2019
SEC Approves New Venture Exchange
Last Friday, the Securities and Exchange Commission approved a new Silicon Valley-based national securities exchange, the LTSE, with a unique twist – a focus on earlier stage companies and long term investing.
United States
29 May 2019
Reporting Companies Cleared For Reg A+ Offerings
The Securities and Exchange Commission announced on December 19, 2018 that it has adopted final rules that will permit full SEC reporting companies to conduct public offerings utilizing
United States
3 Jan 2019
Funding In Regulation A+ Offerings Doubles
Reporting from the Practising Law Institute's Annual Institute on Securities Regulation here in New York City.
United States
14 Nov 2018
Trump Asks SEC To Consider Eliminating Quarterly Reporting
Those who counter this argument believe six months is too long to spot trends that are developing.
United States
24 Sep 2018
SEC Expands "Smaller Reporting Company" Definition
The change is effective 60 days after publication in the Federal Register, which should happen fairly soon.
United States
13 Jul 2018
New Law Orders SEC To Allow Reporting Companies To Use Regulation A+
The new law reverses that and orders the SEC to change the rules to permit reporting companies to utilize Reg A+.
United States
25 May 2018
Regulation A+ Offerings Have Raised Over $600 Million
Today, Sebastian Abero, the head of the SEC's Office of Small Business Policy, had some very positive news for those interested in the new Regulation A+. He revealed that, since the Reg A+ rules were adopted by the SEC in June 2015, through September 2017, there have been 69 completed Reg A+ offerings raising a total of $611 million.
United States
1 Dec 2017
SEC Chair Clayton Comments On Initial Coin Offerings (ICOs)
They also last week issued a warning to celebrities about risks of endorsing ICOs.
United States
13 Nov 2017
Nasdaq Decides to Get Small
In a HUGE announcement last week, Nasdaq, Inc., the parent company of the various stock exchanges bearing that name, decided the exchanges should no longer be called NASDAQ. Instead, they are "re-branding" as just plain Nasdaq, i.e. initial cap then lower case.
United States
6 Nov 2017
SEC Confirms Reg A+ Issuers Can Defer Some Financial Reporting Even When Seeking Exchange Listing
The Regulation A+ rules adopted by the SEC in 2015 included scaled reporting obligations to assist in reducing issuers' offering costs as against a traditional IPO.
United States
25 Sep 2017
House Overwhelmingly Passes Bill To Allow Reporting Companies To Use Reg A+
HR 2864, the "Improving Access to Capital Act," passed the US House of Representatives on September 5, 2017 with a lopsided bipartisan vote of 403-3.
United States
14 Sep 2017
Bill Would Allow Reporting Companies to Use Reg A+
The House Financial Services Committee recently approved a bill that would permit full SEC reporting companies to use Tier 2 of Regulation A+ to effect a streamlined, lower cost public offering of their securities. The bill now moves to the full House.
United States
3 Aug 2017
NYSE Withdraws Proposal To Permit Listing Without An IPO
On June 19, 2017, the New York Stock Exchange withdrew its proposal, originally submitted in March, to allow companies to list on the big board through a so-called "self-filing" without an IPO.
United States
6 Jul 2017
United States
14 Jun 2017
Financial CHOICE Act Would Broaden Form S-3 Availability
On May 4, 2017, the House Financial Services Committee, by a vote of 34-26, passed the Financial CHOICE Act of 2017, which now moves to the full House.
United States
17 May 2017
Spotify May Go Public With "Self-Filing"
IPO alternatives appear to be alive and well as we learn from press reports that unicorn music service Spotify may go public through a "self-filing," also known as a "direct listing."
United States
10 Apr 2017
"T+2" Trade Settlement Arrives
Last week, the SEC approved a rule change that shortens the typical settlement period for public trading through brokers (known as "T+" for "trading plus") to two business days from three.
United States
31 Mar 2017
SEC Issues Encouraging White Paper On Regulation A+ Performance
Following up on positive statements by senior SEC staffers at the recent PLI Securities Law seminar and the SEC small business forum in November, the Commission also recently issued a white paper...
United States
4 Jan 2017
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