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SEC proposes rules for enacting crowdfunding provisions of JOBS Act

USA - October 31 2013 On October 23, 2013, the SEC proposed rules under the Jumpstart Our Business Startups Act (the "JOBS Act") to permit companies to offer and sell...

Jonathan Bagg.

SEC approves final rule amendments allowing for general solicitation and general advertising in Rule 506 and Rule 144a offerings

USA - July 11 2013 On Wednesday, June 10, 2013, the SEC approved amendments to Rule 506, Rule 144A and Form D to accommodate Section 201(a) of the JOBS Act, which...

Jonathan Bagg.

SEC releases guidance on conflict minerals reporting

USA, Democratic Republic of Congo - June 6 2013 On May 30, 2013, the SEC provided frequently asked questions and answers as guidance on the disclosure required by Rule 13p-1 of the Securities...

Jonathan Bagg.

SEC grants no-action relief from broker-dealer registration for two internet-based investment portals

USA - May 10 2013 The SEC recently issued two No-Action letters providing relief from registering as a broker-dealer under Section 15(b) of the Securities Exchange Act...

SEC issues guidance on use of social media in the context of regulation FD disclosures

USA - April 5 2013 On July 3, 2012, the CEO of Netflix, Inc., Reed Hastings, used his personal Facebook account to announce that Netflix had reached a milestone...

Jonathan Bagg.