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SEC Confirms Reg A Issuers Can Defer Some Financial Reporting Even When Seeking Exchange Listing
  • Duane Morris LLP
  • USA
  • September 19 2017

The Regulation A rules adopted by the SEC in 2015 included scaled reporting obligations to assist in reducing issuers’ offering costs as against a


House Overwhelmingly Passes Bill to Allow Reporting Companies to Use Reg A
  • Duane Morris LLP
  • USA
  • September 13 2017

HR 2864, the “Improving Access to Capital Act,” passed the US House of Representatives on September 5, 2017 with a lopsided bipartisan vote of 403-3


Bill Would Allow Reporting Companies to Use Reg A
  • Duane Morris LLP
  • USA
  • August 3 2017

The House Financial Services Committee recently approved a bill that would permit full SEC reporting companies to use Tier 2 of Regulation A to


SEC Says ICOs May Be Securities Offerings
  • Duane Morris LLP
  • USA
  • August 3 2017

Purveyors of initial coin offerings (ICOs) received a strong lashing from the SEC recently in declaring that one particular ICO was a securities


The Importance of Clear Contractual Drafting
  • Duane Morris LLP
  • Singapore
  • July 27 2017

In December 2016, the Singapore Court of Appeal ("Court of Appeal") in Yap Son On v Ding Pei Zhen 2017 1 SLR 219, reversed the decision of the


NYSE Withdraws Proposal to Permit Listing Without an IPO
  • Duane Morris LLP
  • USA
  • June 30 2017

On June 19, 2017, the New York Stock Exchange withdrew its proposal, originally submitted in March, to allow companies to list on the big board


Proposed Revisions to the Consolidated Reports of Condition and Income (Call Report)
  • Duane Morris LLP
  • USA
  • June 27 2017

Effective today, the Federal Deposit Insurance Corporation (FDIC), the Federal Reserve Board, and the Office of the Comptroller of the Currency


SEC Reopens the Front Door for Small Cap Listings as First Regulation A IPO Trades on National Exchange
  • Duane Morris LLP
  • USA
  • June 13 2017

Duane Morris client Myomo Inc., a medical robotics company, completed its initial public offering on June 9, 2017 under SEC Regulation A created


Reigning in the SEC: The Supreme Court Limits Disgorgement to a Five-Year Statute of Limitations
  • Duane Morris LLP
  • USA
  • June 6 2017

In yet another setback for the SEC, the Supreme Court unanimously decided that disgorgement actions, a cornerstone of SEC enforcement, are subject to


Home-Field Advantage? Scrutinizing the Independence of the SEC’s ALJs
  • Duane Morris LLP
  • USA
  • May 10 2017

In the last few weeks, the SEC and its administrative law judges ("ALJs") have tested the truthfulness of the old adage, "There's no such thing as bad