Melissa Palat Murawsky
Blank Rome LLP
Articles
SEC guidance on “bad actor” disqualifications from Rule 506 offerings
USA - January 15 2014 On December 4, 2013 and January 3, 2014, the SEC issued new Compliance and Disclosure Interpretations (C&DIs) clarifying the application of the "bad…
NASDAQ proposal to amend its independence standards for compensation committee members is effective
USA - December 13 2013 Last week we blogged that NASDAQ proposed to amend its independence standards for compensation committee members, which amendments would align…
Breaking bad (boy): SEC issues felon and “bad actor” disqualification guidance
USA - November 14 2013 The staff of the SEC released a Small Entity Compliance Guide discussing the application of the newly adopted regulations on the disqualification of…
SEC issues guidance on private placements involving general solicitation
USA - November 14 2013 Yesterday, the SEC issued new C&DIs related to Rule 506(c) offerings. The new C&DIs provide guidance on various aspects of Rule 506(c) offerings…
FINRA enhances its public offering review process
USA - October 21 2013 Effective September 30th, FINRA instituted enhancements to its public offering review process. Such enhancements include an immediate clearance…
