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Results:1-10 of 477

SEC Proposes Reform of "Test-the-Waters" Communications Rules
  • Proskauer Rose LLP
  • USA
  • February 21 2019

On February 19, 2019, the Securities and Exchange Commission (the "SEC") proposed Rule 163B under the Securities Act of 1933, as amended (the


Extension of FBAR Filing Deadline for Certain Filers
  • Proskauer Rose LLP
  • USA
  • February 11 2019

On December 4, 2018, FinCEN issued Notice 2018-1, extending the filing deadline for the Report of Foreign Bank and Financial Accounts, FinCEN Form


First Appellate Decision Holds that SEC Can Bring Extraterritorial Enforcement Action Based on Conduct or Effects in United States
  • Proskauer Rose LLP
  • USA
  • January 24 2019

The Court of Appeals for the Tenth Circuit held today that the Securities and Exchange Commission may bring an enforcement action based on allegedly


SEC Brings Enforcement Proceedings on Non-GAAP Financial Disclosure
  • Proskauer Rose LLP
  • USA
  • January 14 2019

The SEC recently instituted cease and desist proceedings relating to a company's use of non-GAAP financial measures, signaling the agency's continued


SEC Staff Announces 2019 OCIE Examination Priorities
  • Proskauer Rose LLP
  • USA
  • January 10 2019

On December 20, 2018, the staff of the Office of Compliance Inspections and Examinations (OCIE) of the SEC announced its 2019 examination priorities


Airfox and Paragon Settle with SEC for Unregistered ICOs: Civil Monetary Penalties Imposed; Rescission and Registration Required
  • Proskauer Rose LLP
  • USA
  • December 5 2018

On November 16, the SEC announced that it settled charges against CarrierEQ, Inc. (“Airfox”) and Paragon Coin, Inc. (“Paragon”) for securities


SEC Releases FY 2018 Whistleblower Program Annual Report
  • Proskauer Rose LLP
  • USA
  • November 27 2018

On November 15, 2018, the U.S. Securities and Exchange Commission (“SEC”) published its statutorily mandated fiscal year report to Congress covering


Valuation of Illiquid Securities as a Focus of Recent Enforcement Actions
  • Proskauer Rose LLP
  • USA
  • November 26 2018

While the SEC consistently announces that valuation is a “key area of focus,” it is uncommon for regulators to “second guess” valuation


Registration Requirements for “Decentralized” Exchanges under the Federal Securities Laws: The Case of EtherDelta
  • Proskauer Rose LLP
  • USA
  • November 15 2018

On November 8, the SEC announced that it settled charges against Zachary Coburn, founder of EtherDelta, a type of non-custodial digital asset trading


SEC Launches FinHub
  • Proskauer Rose LLP
  • USA
  • October 29 2018

On October 18, the SEC announced the launch of a new Strategic Hub for Innovation and Financial Technology (the “FinHub”). The FinHub provides an