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Jill Radloff Stinson Leonard Street LLP

Results 1 to 5 of 113

SEC lays out road map on disclosure reform *

USA - April 11 2014
Keith F. Higgins, Director, SEC Division of Corporation Finance, recently laid out the SEC staff's approach to the much discussed disclosure reform…

PCAOB member disputes audit firms’ tales *

USA - April 1 2014
Jeanette M. Franzel, PCAOB Board Member, recently gave her views on the PCAOB's requirements. Ms. Franzel noted the PCAOB has heard that in response…

Reg 506(b) offerings continue to dominate Regulation D practice *

USA - March 9 2014
A recent study by Crowdnetic indicates Regulation D offerings under Rule 506(b) without general solicitation continue to dominate over Rule 506(c)…

SEC Commissioner says JOBS Act merits increased scrutiny of transfer agents *

USA - February 21 2014
Commissioner Luis A. Aguilar recently gave a speech in which he stated the JOBS Act will require increased scrutiny of transfer agents because of the…

SEC says registration as an investment advisor not necessary for 100% owned corporate groups *

USA - February 18 2014
The SEC staff recently issued a no-action letter stating that registration as an investment adviser was not necessary when (i) asset management…

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