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Results 1 to 5 of 60



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…


Proxy advisory firms release policy updates for 2015

USA - November 14 2014 Institutional Shareholder Services (ISS) and Glass Lewis, two leading proxy advisory firms, recently published their 2015 proxy voting guidelines for…

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