New CD&Is Address Expansion of Regulation A
The Securities and Exchange Commission’s Division of Corporation Finance has issued 11 new Compliance and Disclosure Interpretations to offer guidance on Regulation A changes that went into effect on June 19. They address such matters as the use of social media for “testing the waters” communications, what a “principal place ...
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SEC expands use of Regulation A exemption
The SEC has enacted new rules that allow Exchange Act reporting companies to use the Regulation A exemption from registration for their securities offerings. Regulation A provides an exemption from registration for offerings of securities up to $50 million in a 12-month period.
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Article
As Startups Grow, Many Start Needing Compliance Sooner
Once upon a time, start-up companies—whether toiling away in a garage somewhere or moving their way up in the world—rarely even considered a compliance program; that was something they would only need in the future. Now many find that the future comes mighty fast these days. Inside, a closer look ...
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News BriefCommunication and relationships is increasingly critical for compliance teams
Compliance is increasingly in the spotlight as companies are tackling everything from artificial intelligence and other new technologies to risk management and mitigation. But it’s soft skills of communication and relationship building that are becoming the most critical tools for success.