Securities & Exchange Commission (SEC)
More Securities & Exchange Commission (SEC) Articles
Finance
SEC Lifts Ban On General Solicitation For Certain Private Offerings, Disqualifies "Bad Actors" From Participating In Regulation D Private Offerings And Proposes Rules To Assist In Monitoring Market Practices
The Securities and Exchange Commission has adopted major amendments to the private placement safe harbor under Rule 506 of Regulation D and to Rule 144A under the Securities Act of 1933 (the “Securities Act”). The amendments will allow general advertising and general...
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Long Odds: Appealing A Delisting Decision To The SEC
Sometimes you know the odds are long, and success for the other side is supposed to be a preordained walk-over victory. When a client has been wronged, however, you need to ignore the odds and trust that rational minds will prevail. Recently, we had the chance to represent CleanTech Innovations,...
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SEC Adopts Final Rules Permitting General Solicitation In Private Offerings
On July 10, 2013, the SEC at an open meeting (i) adopted final rules eliminating the prohibition against general solicitation and general advertising (hereinafter referred to as a general solicitation) in certain securities offerings conducted pursuant to Rule 506 of Regulation D under the...
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