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Category: Regulation ATS

Regulation ATS: Regulation ATS requires, among others, registration as a broker-dealer. The OTC Markets is an ATS, as is to Technologies…

SEC Adopts Rules to Amend Regulation S-K

On March 20, 2019 the SEC adopted amendments to Regulation S-K as required by the Fixing America’s Surface Transportation Act (“FAST Act”).  The proposed amendments were first published on October 11, 2017 . A majority of the amendments were adopted as proposed. As part of the SEC’s ongoing Disclosure Effectiveness Initiative, the amendments are designed to modernize and simplify… Continue reading “SEC Adopts Rules to Amend Regulation S-K”

NYSE American Compliance Guidance MEMO

In January, NYSE Regulation sent out its yearly Compliance Guidance Memo to NYSE American listed companies. The annual letter updates companies on any rule changes from the year and reminds companies of items the NYSE deems important enough to warrant such a reminder. The only new item in this year’s letter relates to advance notice of stock dividends and distributions. Effective… Continue reading “NYSE American Compliance Guidance MEMO”

Regulation A For Publicly Reporting Companies, Economic Growth and Regulatory Relief

Regulation A will soon be available for publicly reporting companies. On May 24, 2018, President Trump signed the Economic Growth, Regulatory Relief and Consumer Protection Act (the “Act”) into law. Although the Act largely focuses on the banking industry and is being called the Dodd-Frank Rollback Act by many, it also contained much-needed provisions amending Regulation A+ and Rule… Continue reading “Regulation A For Publicly Reporting Companies, Economic Growth and Regulatory Relief”

The 2017 SEC Government-Business Forum On Small Business Capital Formation Final Report

The SEC has published the final report and recommendations of the 2017 annual Government-Business Forum on Small Business Capital Formation (the “Forum”). As required by the Small Business Investment Incentive Act of 1980, each year the SEC holds a forum focused on small business capital formation.  The goal of the forum is to develop recommendations for government and private… Continue reading “The 2017 SEC Government-Business Forum On Small Business Capital Formation Final Report”

SEC Issues Report on Initial Coin Offerings (ICO’s)

On July 25, 2017, the SEC issued a report on an investigation related to an initial coin offering (ICO) by the DAO and statements by the Divisions of Corporation Finance and Enforcement related to the investigative report (the “Report”). On the same day, the SEC issued an Investor Bulletin related to ICO’s. Offers and sales of digital… Continue reading “SEC Issues Report on Initial Coin Offerings (ICO’s)”