States Sue to Stop SEC’s Regulation A+
In petitions filed with the U.S. Court of Appeals for the District of Columbia, officials in Massachusetts and Montana, concerned by the diminished role of state securities regulators, are asking the court to vacate the Securities and Exchange Commission’s expansion of the Regulation A exemption ahead of its June 9 ...
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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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ArticleU.K. enforcement appetite over off-channel comms grows as U.S. wanes
The U.K’.s financial regulator has given a strong indication that financial firms’ use of unauthorized devices and apps is under scrutiny and that policies around off-channel communications need to be tightened up.
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Basic PageTrump wants SEC to toss quarterly reporting requirement
President Donald Trump is pushing for a shake-up in corporate reporting rules, calling on companies to file earnings with the SEC only twice a year instead of every quarter.