- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2015-06-24T13:45:00
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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2018-12-19T15:15:00Z By Joe Mont
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.
2015-09-15T12:30:00Z By Joe Mont
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 ...
2019-04-15T20:51:00Z By Joe Mont
The Trump administration is trying a new strategy to seize control over independent agencies’ rulemaking processes and the guidance they issue.
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