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Results 1 to 5 of 61

SEC charges four individuals and nutrition company for failure to disclose executive perks

USA - September 11 2015 On September 8, the SEC charged a sports supplements and nutrition company, its former audit committee chairman and three of its current and former…

SEC denies motion to stay Regulation A+

USA - June 19 2015 On June 16, the Securities and Exchange Commission denied a motion, filed by Monica J. Lindeen, Montana State Auditor, ex officio Commissioner of…

Co-authors: Mark D. Wood, Jonathan H. Bernstein.

States challenge blue sky preemption under Regulation A+

USA - June 5 2015 On May 27, the Federal Court of Appeals for the District of Columbia combined lawsuits filed by the commonwealth of Massachusetts and the state of…

Co-authors: Mark D. Wood, Jonathan H. Bernstein.

SEC adopts final rules for Regulation A+ offerings

USA - March 27 2015 On March 25, the Securities and Exchange Commission adopted final rules that will expand the exemption from registration under the Securities Act of…

Co-authors: Mark Wood, Mark J. Reyes.

SEC proposes rule amendments to implement JOBS Act registration thresholds

USA - January 9 2015 On December 18, 2014, the Securities and Exchange Commission proposed rule amendments that, if adopted, would modify SEC rules governing registration…

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