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By Mauro M. Wolfe and Jovalin Dedaj Under the new Administration, we have been promised a new tone regarding how Government interfaces with the market.  This “change” is of particular interest to those who defend matters before the SEC.  Wil (More)
This week reports surfaced that a major shift in the SEC enforcement division had taken place - behind the scenes.  The timing is quite interesting as the agency’s annual seminar and SEC Alumni dinner will occur at the end of the month.  No doubt (More)
Following up on positive statements by senior SEC staffers at the recent PLI Securities Law seminar and the SEC small business forum in November, the Commission also recently issued a white paper on how things are going under updated Regulation A, no (More)
A little known and little used part of Regulation D under the Securities Act is about to get some new attention. In what appears to be a gift to the states after somewhat eviscerating their power with the Regulation A+ changes, the SEC, on October 26 (More)
Duane Morris special counsel Michael E. Clark, who is this event's co-chair, will also present during several sessions at the American Bar Association's (ABA) First Annual Foreign Corrupt Practices Act Mock Trial Institute, to be held on November 16 (More)
As many of us have noticed, the first comment letters from the staff in the SEC’s Division of Corporation Finance, following Corp Fin’s recent issuance of new CDI guidance on the presentation of non-GAAP financial measures, have become available (More)
On June 27, 2016, the SEC released a proposal that would increase the number of companies eligible to be “smaller reporting companies.” SRCs get the benefits of reduced disclosure over other public companies, such as two years of financial statem (More)
I have now had a chance to read the 23-page, very well-written, clear and concise DC Circuit court opinion on the Reg A+ challenge brought by two states (see entry below). The ruling started with a brief history of securities law, how it started with (More)
Last week the SEC proudly announced the completion of its rulemaking obligations under the Jumpstart Our Business Startups (JOBS) Act of 2012 and the mini-JOBS Act 2.0 tacked onto the Fixing America’s Surface Transportation (FAST) Act. The last rul (More)