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Section 13 Filings: What You Need to Know
Cindy MacPherson
Section 13 of the Securities and Exchange Act of 1934 requires investment managers of certain publicly-traded equity securities to file reports on …
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The SEC Rolls Out Changes to Over-The-Counter Marketplaces
Brad Packard
Amendments to Securities & Exchange Commission (SEC) Rule 15c2-11 went into effect on September 28th of this year, impacting which …
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Extensible Enumerations
Amin Kassim
On July 22, 2020, the Financial Accounting Standards Board (FASB) issued an Extensible Enumerations guide to educate preparers on the Extensible …
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Final Rule: Filing Fee Disclosures
Cindy MacPherson
On October 13, 2021, the Securities and Exchange Commission (SEC) unanimously voted to adopt the proposed changes to modernize filing fee …
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The SEC Examines Regulating Cryptocurrencies
Brad Packard
In December of 2017, the price of the largest cryptocurrency in the world, Bitcoin, surged to over $19,000, up an astounding 4750% from just two …
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Regulation Crowdfunding: Online Intermediaries
Brad Packard
In a previous blog related to Regulation Crowdfunding, we discussed the basics of conducting an equity crowdfunding campaign, as well as the benefits …
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