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Category: Form 10

S-3 Eligibility

The ability to use an S-3 registration statement is significant for exchange traded companies.  An S-3 allows forward incorporation by reference and can be used for a shelf registration among other benefits.  S-3 eligibility is comprised of both registrant or company requirements and transaction requirements.  In this blog I will discuss the general company and transaction requirements… Continue reading “S-3 Eligibility”

SEC Proposes Rules To Modernize And Simplify Disclosures

On October 11, 2017, as part of the ongoing SEC Disclosure Effectiveness Initiative, the SEC published proposed rule amendments to modernize and simplify disclosure requirements for public companies, investment advisers, and investment companies. The proposed rule amendments implement a mandate under the Fixing America’s Surface Transportation Act (“FAST Act”). The FAST Act, passed in December 2015,… Continue reading “SEC Proposes Rules To Modernize And Simplify Disclosures”