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20 results for: securities enforcement
July 16, 2025

SEC Division of Corporation Finance Issues Statement on Crypto Asset Exchange-Traded Products

By David Bell, Ran Ben-Tzur, Amanda Rose, Wendy Grasso , +1 more...
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On July 1, the SEC’s Division of Corporation Finance (Corp Fin) issued a statement regarding Crypto Asset Exchange-Traded Products...
July 16, 2025

SEC Division of Corporation Finance Issues Statement on Crypto Asset Exchange-Traded Products

By David Bell, Ran Ben-Tzur, Amanda Rose, Wendy Grasso , +1 more...
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On July 1, the SEC’s Division of Corporation Finance (Corp Fin) issued a statement regarding Crypto Asset Exchange-Traded Products...
July 15, 2025

SEC's Corp. Fin. Amends CDIs Related to Regulation 13D–G Reporting Rules

By David Bell, Ran Ben-Tzur, Amanda Rose, Wendy Grasso , +1 more...
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On July 11, the SEC’s Division of Corporation Finance amended 18 Compliance and Disclosure Interpretations relating to Regulation 13D-G,...
July 15, 2025

SEC's Corp. Fin. Amends CDIs Related to Regulation 13D–G Reporting Rules

By David Bell, Ran Ben-Tzur, Amanda Rose, Wendy Grasso , +1 more...
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On July 11, the SEC’s Division of Corporation Finance amended 18 Compliance and Disclosure Interpretations relating to Regulation 13D-G,...
June 20, 2025

SEC News Roundup

By David Bell, Ran Ben-Tzur, Amanda Rose, Wendy Grasso , +1 more...
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Catch up on the latest SEC news, including agency guidance, tips, requests for input, and more.  Petition for Rulemaking with Respect to...
June 20, 2025

SEC News Roundup

By David Bell, Ran Ben-Tzur, Amanda Rose, Wendy Grasso , +1 more...
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Catch up on the latest SEC news, including agency guidance, tips, requests for input, and more.  Petition for Rulemaking with Respect to...
June 18, 2025

FINRA Fee Cap Increase Coming in July

By David Bell, Ran Ben-Tzur, Amanda Rose, Wendy Grasso , +1 more...
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Some issuers will be subject to higher FINRA fee caps beginning July 1, 2025. Section 7 of Schedule A to the FINRA By-Laws sets forth the...
June 18, 2025

FINRA Fee Cap Increase Coming in July

By David Bell, Ran Ben-Tzur, Amanda Rose, Wendy Grasso , +1 more...
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Some issuers will be subject to higher FINRA fee caps beginning July 1, 2025. Section 7 of Schedule A to the FINRA By-Laws sets forth the...
June 16, 2025

SEC Withdraws 2022 Proposed Amendment to Rule 14a-8

By David Bell, Ran Ben-Tzur, Amanda Rose, Wendy Grasso , +1 more...
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On June 12, 2025, the SEC announced its withdrawal of previously proposed amendments to Rule 14a-8. The amendments, proposed in June...
June 16, 2025

SEC Withdraws 2022 Proposed Amendment to Rule 14a-8

By David Bell, Ran Ben-Tzur, Amanda Rose, Wendy Grasso , +1 more...
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On June 12, 2025, the SEC announced its withdrawal of previously proposed amendments to Rule 14a-8. The amendments, proposed in June...
June 16, 2025

SEC Staff Says Certain Protocol Staking Activities Don't Constitute the Sale of Securities

By David Bell, Ran Ben-Tzur, Amanda Rose, Wendy Grasso , +1 more...
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The SEC’s Division of Corporation Finance recently issued a statement on Certain Protocol Staking Activities, essentially articulating...
June 16, 2025

SEC Staff Says Certain Protocol Staking Activities Don't Constitute the Sale of Securities

By David Bell, Ran Ben-Tzur, Amanda Rose, Wendy Grasso , +1 more...
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The SEC’s Division of Corporation Finance recently issued a statement on Certain Protocol Staking Activities, essentially articulating...
May 12, 2025

NYSE Changes Rules on Initial Period Fees, How It Evaluates Listing Applications from Companies Outside North America

By David Bell, Ran Ben-Tzur, Amanda Rose, Wendy Grasso , +1 more...
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The New York Stock Exchange (Exchange) has recently adopted two rule changes, one to reduce fees for the initial period of a company’s...
May 12, 2025

NYSE Changes Rules on Initial Period Fees, How It Evaluates Listing Applications from Companies Outside North America

By David Bell, Ran Ben-Tzur, Amanda Rose, Wendy Grasso , +1 more...
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The New York Stock Exchange (Exchange) has recently adopted two rule changes, one to reduce fees for the initial period of a company’s...
May 09, 2025

SEC Staff Offers New Guidance on Crypto Disclosure, Stablecoins

By David Bell, Ran Ben-Tzur, Amanda Rose, Wendy Grasso, Merritt Steele , +2 more...
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The SEC staff has issued a number of recent statements related to cryptocurrencies. Existing Disclosure Requirements On April 10, the SEC...
May 09, 2025

SEC Staff Offers New Guidance on Crypto Disclosure, Stablecoins

By David Bell, Ran Ben-Tzur, Amanda Rose, Wendy Grasso, Merritt Steele , +2 more...
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The SEC staff has issued a number of recent statements related to cryptocurrencies. Existing Disclosure Requirements On April 10, the SEC...
May 07, 2025

SEC OKs Nasdaq's Changes to Initial Listing Reqs

By David Bell, Ran Ben-Tzur, Amanda Rose, Wendy Grasso, Merritt Steele , +2 more...
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The SEC recently approved Nasdaq’s proposed changes to the initial listing requirements related to liquidity. Nasdaq proposed to change...
May 07, 2025

SEC OKs Nasdaq's Changes to Initial Listing Reqs

By David Bell, Ran Ben-Tzur, Amanda Rose, Wendy Grasso, Merritt Steele , +2 more...
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The SEC recently approved Nasdaq’s proposed changes to the initial listing requirements related to liquidity. Nasdaq proposed to change...
May 05, 2025

SEC updates CDIs on Rule 10b5-1 plans, clawbacks, and de-SPAC transactions

By David Bell, Ran Ben-Tzur, Amanda Rose, Wendy Grasso, Merritt Steele , +2 more...
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On April 25, the SEC staff added two new Compliance and Disclosure Interpretations (CDIs), revised 20 CDIs and withdrew three CDIs...
May 05, 2025

SEC updates CDIs on Rule 10b5-1 plans, clawbacks, and de-SPAC transactions

By David Bell, Ran Ben-Tzur, Amanda Rose, Wendy Grasso, Merritt Steele , +2 more...
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On April 25, the SEC staff added two new Compliance and Disclosure Interpretations (CDIs), revised 20 CDIs and withdrew three CDIs...
May 02, 2025

Risk Factor Considerations for Upcoming Form 10-Q

By David Bell, Ran Ben-Tzur, Amanda Rose, Wendy Grasso, Merritt Steele , +2 more...
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As companies prepare their Form 10-Q disclosures, it's worth bearing in mind a number of special considerations amid the current economic...
May 02, 2025

Risk Factor Considerations for Upcoming Form 10-Q

By David Bell, Ran Ben-Tzur, Amanda Rose, Wendy Grasso, Merritt Steele , +2 more...
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As companies prepare their Form 10-Q disclosures, it's worth bearing in mind a number of special considerations amid the current economic...
March 25, 2025

SEC Expands Confidential Filing Options

By David Bell, Ran Ben-Tzur, Amanda Rose, Wendy Grasso, Merritt Steele , +2 more...
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The Securities and Exchange Commission has expanded the confidential filing options, including:  All Securities Act registration...
March 25, 2025

SEC Expands Confidential Filing Options

By David Bell, Ran Ben-Tzur, Amanda Rose, Wendy Grasso, Merritt Steele , +2 more...
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The Securities and Exchange Commission has expanded the confidential filing options, including:  All Securities Act registration...