Securities Attorneys (Exchange Act)

Learn About IPOs on Nasdaq and NYSE American

Jul 28, 2024

General Counsel, Securities Attorneys (Exchange Act)

Learn About IPOs on Nasdaq and NYSE American

By Joseph J. Kaufman

Business investors of profitable business reviewing gross income of business on a tablet screen

Jan 26, 2024

Securities Attorneys (Exchange Act)

Section 12(g) of the Exchange Act: Why You Should Care

By Patrick Costello

Dark desk with judges gavel. Two people reaching over the desk to exchange Federal Court of Appeals Ruling

Oct 24, 2023

Securities Attorneys (Exchange Act)

Recent Federal Court of Appeals’ Ruling Calls Into Question the Authority of FINRA Hearing Officers

By Michael Starmer

Middle aged Asian woman wearing blue suit jacket sitting at her desk with a laptop, papers, and notepad.

Oct 19, 2023

Securities Attorneys (Exchange Act)

New SEC Rules For Beneficial Ownership Reporting on Schedules 13D and 13G

By Mariya Mendel

Middle aged Caucasian man wearing navy blue suit with white collared shirt and pink tie sitting in front of large computer screen in office setting.

Oct 19, 2023

Securities Attorneys (Exchange Act)

Supreme Court to Address the Actionability of Corporate Omissions

By Michael Starmer

Man wearing suit using laptop with blurred computer system in the background

Sep 01, 2023

Cryptocurrency, Securities Attorneys (Exchange Act)

Is Your Digital Token Subject to U.S. Securities Law?

By Chris Soares

Teenage girl with dark hair holding her head while crying, looking at computer screen and cell phone

Aug 30, 2023

Securities Attorneys (Exchange Act)

New SEC Rule Expanding Cyber Security Related Disclosures

By Chris Soares

man and woman looking at documents

Jul 20, 2023

Securities Attorneys (Exchange Act)

Challenges in Terminating Post-Qualification Amendments: Navigating Ongoing Disclosure Requirements for Reg A and Reg CF Offerings

By Patrick Costello

US Securities and Exchange Commission building

Mar 23, 2023

Securities Attorneys (Exchange Act)

SEC Adopts T+1 Settlement Cycle

By Mary Sheridan

Lawyer writing document image

Jan 29, 2021

Securities Attorneys (Exchange Act)

The Expanded Definition of “Accredited Investor” Took Effect on December 8, 2020

By Lou Bevilacqua

Joint Statement by SEC and FINRA addresses compliance

Jul 17, 2019

Securities Attorneys (Exchange Act)

Joint Statement by SEC and FINRA Underscores Importance of Custody Solutions for Digital Securities

By Lahdan Rahmati

May 02, 2019

Securities Attorneys (Exchange Act)

SEC Final Rules Intelligently Reduce Disclosure Requirements

By Lahdan Rahmati

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