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Results: 1-10 of 95

Designating officers for Exchange Act purposes

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • April 1 2014

Annual "housekeeping" activities of public companies at this time of year include, or should include, designating "officers" for purposes of filing

Limited availability of Rule 144 for resales by shareholders of former shell companies

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • March 14 2014

Persons seriously considering, on an informed basis, going public through a reverse merger with a public shell company likely understand that the

Reporting companies’ conflict-minerals obligations will continue

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • March 10 2014

A number of reporting companies are still working diligently to comply with their obligations to file the initial Form SD, by May 31, 2014, under the

New SEC no-action letter exempts M&A brokers from federal broker-dealer registration requirement

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • February 6 2014

The Staff of the Securities and Exchange Commission has just released a significant no-action letter, dated Jan. 31, 2014 and revised Feb. 4, 2014

New Texas rules require Texas-based investment fund managers to conduct a compliance review before March 31, 2014

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • February 4 2014

Following proposals issued in October 2013, the Texas State Securities Board recently approved amendments to its investment adviser registration rules

New Texas rules require Texas-based investment fund managers to conduct a compliance review before March 31, 2014

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • January 24 2014

On Jan. 14, 2014, the Texas State Securities Board approved amendments to its investment adviser registration rules. These amendments take effect on

General solicitation and general advertising under Rule 502(C)

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • August 19 2013

When it becomes effective on Sept. 23, 2013, the SEC's new Rule 506(c) (PDF) will permit private-placement issuers to avoid making the

IBM cloud revenue investigation by the SEC

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • August 6 2013

With IBM cloud revenue estimated to reach $7 billion by 2015 the revelation the SEC is investing how IBM reports creates questions that may impact

SEC adopts final rules allowing general solicitation and advertising in private placements

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • August 2 2013

On July 10, 2013, the U.S. Securities and Exchange Commission adopted significant amendments (PDF) to the private placement rules which will permit

Application of SEC rules to foreign companies

  • Gardere Wynne Sewell LLP
  • -
  • USA
  • -
  • July 9 2013

The following document outlines the laws and regulations governing foreign companies that wish to access the U.S. capital markets. The Securities Act