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SEC investor Advisory Committee considers recommendations to tighten rules for insiders’ trading plans

USA - September 7 2021 The Securities and Exchange Commission’s Investor Advisory Committee (the “IAC”) is considering recommendations from its Owner Subcommittee urging…

Jonathan E. Richman.

NFTs Are Interesting but Fractionalized Non-Fungible Tokens (F-NFTs) May Present Even More Challenging Legal Issues

USA - April 22 2021 Except for the extensive coverage surrounding Coinbase’s IPO last week and the volatility in the price of cryptocurrencies, much of the air in the…

Karen J. Garnett, Jeffrey Neuburger.

SEC Proposes Conditional Exemption for Tier I and Tier II Finders in Private Capital Raising

USA - October 12 2020 On October 7, 2020, the SEC voted to propose a conditional exemption from federal broker registration for “finders” who assist issuers in raising…

Benjamin J Catalano, Anthony M Drenzek, Michael F Mavrides.

SEC Proposes Increasing the 13F Threshold to $3.5 billion

USA - July 13 2020 On July 10, 2020, the Securities and Exchange Commission (“SEC”) proposed significantly increasing the reporting threshold requiring the filing of a…

Robert G Leonard, Michael F Mavrides, Robert E Plaze, Louis Rambo, Christopher M Wells.

SEC Issues Final Rules on Registered Investment Company and Business Development Company Acquisition and Financial Statement Disclosure

USA - July 10 2020 The Securities and Exchange Commission (the “SEC”) recently adopted final rules (the “Final Rules”) amending Regulation S-X and related rules and…

Karen J. Garnett, Steven B. LeiserMitchell, Erin M. Lett, Nicole M. Runyan, William J. Tuttle.