SEC releases National Examination Program priorities for 2013 *

USA - April 1 2013
On February 21, 2013, the National Examination Program (NEP), which is administered by the Securities and Exchange Commission's (SEC) Office of…

Co-authors: Brian W. Song, Darren M. Donahue.

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JOBS Act update *

USA - March 7 2013
The Securities and Exchange Commission’s (SEC) Division of Trading and Markets and the Financial Industry Regulatory Authority (FINRA) recently…

Co-authors: Stephanie A. Wong.

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FINRA offers regulatory road map for 2013 *

USA - February 6 2013
On January 11, 2013, the Financial Industry Regulatory Authority (FINRA) issued its annual Regulatory and Examination Priorities Letter (Priorities…

Co-authors: David W. Rice, Christopher B. Gallagher.

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SEC issues proposed rule eliminating the ban on general solicitation and general advertising in Rule 506 offerings *

USA - October 3 2012
The Securities and Exchange Commission (the "SEC") published a rule proposal to eliminate the ban on general solicitation and general advertising as part of an unregistered offering of securities made in reliance on the non-exclusive safe harbor set forth in Rule 506 of Regulation D of the Securities Act of 1933.

Co-authors: Jonathan F. Langer.

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JOBS Act: significant new private offering opportunities for businesses and securities intermediaries *

USA - August 17 2012
Commentators have lauded the Jumpstart Our Business Startups Act, or JOBS Act, for creating an "IPO on ramp" for emerging growth companies with less than $1 billion of revenue.

Co-authors: Laurence S. Markowitz.

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