Melissa Palat Murawsky

Blank Rome LLP

Articles

Results 11 to 15 of 163


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…

Yelena M. Barychev, Francis E. Dehel, Michael E. Plunkett

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…

Yelena M. Barychev, Francis E. Dehel, Michael E. Plunkett

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…