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Results: 1-10 of 117

SEC Settles With 71 Municipal Issuers
  • Dorsey & Whitney LLP
  • USA
  • August 24 2016

The Commission’s Municipalities Continuing Disclosure Cooperation Initiative has been a significant success. Under the Initiative the agency has filed


Recent developments in China bond markets
  • Dorsey & Whitney LLP
  • China, European Union
  • August 27 2015

A number of Chinese issuers have issued bonds in the European debt markets recently. To date in 2015, more than ten Chinese companies have issued in


SEC obtains freeze order over transfer agent
  • Dorsey & Whitney LLP
  • USA
  • May 28 2014

Transfer agents perform critical services for issuers and shareholders. The duties of those agents include maintaining the issuer's security holder


RMB bond issue in Hong Kong (a.k.a. A delicious Dim Sum offering!) challenges to Hong Kong part 5
  • Dorsey & Whitney LLP
  • USA, China, Hong Kong
  • February 17 2014

Foreign and Chinese companies seeking to access the renminbi ("RMB") bond market can now raise capital without time-consuming IPOs, rights issuances


SEC enforcement begins a “busy” 2014
  • Dorsey & Whitney LLP
  • USA
  • February 3 2014

In recent remarks SEC Chair Mary Jo White promised that 2014 would be a "busy" year for the Enforcement Division. If yesterday's filings are any


RMB bond issue in Hong Kong (a.k.a. a delicious dim sum offering!) some structural issues to consider part 4
  • Dorsey & Whitney LLP
  • USA, China, Hong Kong
  • January 16 2014

Foreign and Chinese companies seeking to access the renminbi (“RMB”) bond market can now raise capital without time-consuming IPOs, rights issuances


SEC releases long awaited rules on Regulation A
  • Dorsey & Whitney LLP
  • USA
  • December 30 2013

On December 18, the Securities and Exchange Commission released their long-awaited proposed rules on Regulation A. The proposed rules, which are


Capital markets tip: ensure your company isn’t shut out of rule 506 offerings under the sec’s “bad actor” disqualification rules
  • Dorsey & Whitney LLP
  • USA
  • October 15 2013

For years, issuers and broker-dealers have relied upon Rule 506 of Regulation D under the Securities Act of 1933, as amended (the "Act"), as a


SEC files actions against school district and broker
  • Dorsey & Whitney LLP
  • USA
  • July 29 2013

The Commission filed two more settled actions tied to the municipal bond market. One a proceeding was brought against a school district, alleging it


SEC issues guidance on disclosure of payments by resource extraction issuers
  • Dorsey & Whitney LLP
  • USA
  • June 12 2013

On May 30, 2013, the Securities and Exchange Commission (SEC) issued guidance on the rules regulating disclosure of government payments by resource