Securities & Exchange Commission (SEC)
More Securities & Exchange Commission (SEC) Articles
Private Equity
SEC Issues Guidance On Regulation D “Bad Actor” Rules
On December 4, 2013, the Division of Corporation Finance of the Securities and Exchange Commission (the SEC) issued new Compliance and Disclosure Interpretations (the Interpretations) regarding Rules 506(d) and (e) of Regulation D under the Securities Act of 1933, which rules prevent issuers from...
Read MoreFinance | Private Equity
Corporations: A New Player In The Venture Capital World Of Start-Ups
Editor: Please tell us about your background. O’Brien: In addition to being a partner and a member of the firm’s Corporate Practice Group, I head King & Spalding’s Emerging Company Practice Group. I was at Wilson Sonsini for many years in the 1980s and ’90s,...
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SEC’s Second Annual Report Summarizing Whistleblower Program Shows Little Change
On November 15, 2013, the U.S. Securities and Exchange Commission (SEC or the Commission) released its Annual Report to Congress on the Dodd-Frank Whistleblower Program (the Report).[1] The Report is remarkable for three reasons. First, the Report shows that, despite very significant...
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