The Law of the Financial Markets from Top Securities Lawyers
Tuesday, March 21, 2023
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Thursday, Oct. 13, which will address entrepreneurship hubs and recent trends in taking a company public. Members of the public can watch the live meeting via webcast on www.sec.gov. The Committee, […]
September 22, 2022 – The Securities and Exchange Commission today charged The Boeing Company and its former CEO, Dennis A. Muilenburg, with making materially misleading public statements following crashes of Boeing airplanes in 2018 and 2019. The crashes involved Boeing’s 737 MAX airplane and a flight control function called the […]
September 21, 2022 – The Securities and Exchange Commission today charged the CEO of Cheetah Mobile Inc. and the company’s former President with insider trading for selling Cheetah Mobile’s securities, pursuant to a purported 10b5-1 trading plan, while in possession of material nonpublic information. The SEC’s order finds that Sheng […]
The over-the-counter market is where securities which do not trade on an exchange are traded. Securities traded on the this market are typically from smaller companies that do not meet the listing requirements from the exchanges. The OTC market is the default exchange for some securities, like corporate bonds. Alternatively, […]
Most entrepreneurs ultimately seek to go public, which increases the company’s access to cash, and enhances the status of the company. However, the decision to go public is not an easy one, and doing so requires careful planning, and the right groups of advisers. The NASDAQ has an excellent overview […]
March 30, 2022 – The SEC today announced its 2022 examination priorities, including several significant areas of focus and many perennial risk areas. “The Division’s 2022 examination priorities identify key risk areas that we expect registrants to address, manage, and mitigate with vigilance,” said SEC Chair Gary Gensler. “Investment advisers, […]
March 16, 2022 — The SEC announced charges, and a settlement of those charges with Crosby Independent School District (Crosby ISD) and its former Chief Financial Officer, Carla Merka. They were charged with misleading investors in the sale of $20 million of municipal bonds in order to pay its outstanding […]
The Office of the Advocate for Small Business Capital Formation will host the Securities and Exchange Commission’s 41st Annual Government-Business Forum on Small Business Capital Formation over four virtual sessions April 4-7 from 1:00-2-30pm ET. Each… Read the Full Press Release Have a securities law question? Call New York Securities […]
AdvisorHub is reporting that FINRA issued an alert on Friday warning about the compliance obligations triggered due to sanctions the U.S. government has imposed on individuals and entities in response to Russia’s invasion of Ukraine. The FINRA alert noted that following a White House Executive Order, the Department of […]
The Securities and Exchange Commission today announced that it proposed rule amendments governing beneficial ownership reporting under Exchange Act Sections 13(d) and 13(g). The proposed amendments would update those rules to provide more timely information to meet the needs of today’s financial markets. “These amendments would update our reporting requirements […]
