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29 results found

Article

Blank Rome LLP | USA | 23 Jan 2014

SEC issues additional transitional guidance related to Rule 506 offerings

Today, the SEC issued new Compliance and Disclosure Interpretations (C&DIs) related to Rule 506 offerings commenced prior to September 23, 2013, the

Article

Blank Rome LLP | USA | 14 Nov 2013

SEC issues guidance on private placements involving general solicitation

Yesterday, the SEC issued new C&DIs related to Rule 506(c) offerings. The new C&DIs provide guidance on various aspects of Rule 506(c) offerings

Article

Blank Rome LLP | USA | 21 Oct 2013

FINRA enhances its public offering review process

Effective September 30th, FINRA instituted enhancements to its public offering review process. Such enhancements include an immediate clearance

Article

Blank Rome LLP | USA | 30 Jul 2013

Private funds will also be able to engage in general solicitations

On July 10, the SEC adopted rules to implement Section 201(a) of the JOBS Act. Under amended Rule 506, companies will have the choice of using Rule

Article

Blank Rome LLP | USA | 30 Jul 2013

SEC adopts “me too” amendments for Rule 144A

As part of amendments to Regulation D, and as required by the JOBS Act, the SEC adopted an amendment to Rule 144A to provide that securities sold

Article

Blank Rome LLP | USA | 21 Jun 2013

Cavete publici officialis

A recent SEC enforcement action against the City of Harrisburg, Pennsylvania serves as a warning to leaders of state and local governments with

Article

Blank Rome LLP | USA | 16 Apr 2013

Take care when using finders

With good reason, many securities lawyers cringe when they hear that a business client has engaged a "consultant" or "finder" to help raise capital

Article

Blank Rome LLP | USA | 16 Apr 2013

SEC provides guidance on the custody rule

In March 2013, the SEC issued a Risk Alert and an Investor Bulletin related to compliance with its custody rules for investment advisers. The Risk

Article

Blank Rome LLP | USA | 16 Apr 2013

Brokerdealer FAQS under the JOBS Act

On February 5, 2013, the Division of Trading and Markets of the SEC issued FAQs providing guidance on the exemption from broker-dealer registration

Article

Blank Rome LLP | USA | 24 Jan 2013

10b5-1 plans making headlines

Rule 10b5-1 trading plans, and those using them, are making headlines. A Rule 10b5-1 trading plan is a written plan for buying or selling securities

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