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30 results found

Article

Hogan Lovells | USA | 11 Aug 2017

SEC announces whistleblower award for government employee

On July 25, the SEC announced that it would grant $2.5 million “to an employee of a domestic government agency whose tip helped launch an SEC

Article

Hogan Lovells | USA | 6 Jun 2017

Supreme Court limits SEC disgorgement orders to a five-year statute of limitations

Yesterday, the Supreme Court unanimously held in Kokesh v. SEC that disgorgement orders in enforcement actions by the Securities and Exchange

Article

Hogan Lovells | USA | 23 Dec 2015

FAST Act securities provisions ease regulatory requirements for smaller issuers and create a new resale exemption

On December 4, President Obama signed into law the Fixing America's Surface Transportation Act (FAST Act). Division G (Financial Services) of the

Article

Hogan Lovells | USA | 13 Nov 2015

SEC adopts regulation permitting unregistered crowdfunding securities offerings

On October 30, the SEC completed a two-year effort to implement the exemption from Securities Act registration for "crowdfunding" securities

Article

Hogan Lovells | USA | 21 Oct 2015

NYSE amends rule regarding release of material news and trading halt authority

The New York Stock Exchange recently amended its rule that governs a listed company's obligation to notify the exchange before it releases material

Article

Hogan Lovells | USA | 22 Apr 2015

Regulation A amended to expand access to capital for smaller companies

June 19 will be the effective date for amendments to Regulation A under the Securities Act of 1933 recently adopted by the SEC. The amendments

Article

Hogan Lovells | USA | 22 Apr 2015

Regulation A amended to expand access to capital for smaller companies

June 19 will be the effective date for amendments to Regulation A under the Securities Act of 1933 recently adopted by the SEC. The amendments

Article

Hogan Lovells | USA | 15 May 2014

SEC staff issues guidance permitting hyperlinks to cautionary statements and legends in social media communications

On April 21, the SEC's Division of Corporation Finance issued Compliance and Disclosure Interpretations (CDIs) clarifying the staff's position on the

Article

Hogan Lovells | USA | 18 Feb 2014

SEC staff provides expanded no-action relief from broker-dealer registration for intermediaries in private M&A transactions

The staff of the SEC's Division of Trading and Markets issued a no-action letter on February 4 that provides important new guidance on how

Article

Hogan Lovells | USA | 10 Jan 2014

SEC proposes amendments to regulation a to expand access to capital for smaller companies

On December 18, 2013, the SEC proposed amendments to Regulation A under the Securities Act to implement a mandate under the Jumpstart Our Business

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