Analysis of cutting-edge securities industry issues
Today’s post is the penultimate of this series covering the recently signed JOBS Act, and covers the Act’s Title I – Reopening American Capital Markets to Emerging Growth Companies. Check back later this…
Continue Reading Emerging Growth Companies – A Bigger Deal Than You Might Think
This post is a continuance of a series reviewing the JOBS Act. For more on the registration requirement threshold shift from 500 to 2000 investors, click here. For Jim’s…
Continue Reading It’s Official! The JOBS Act of 2012 and Changes to Reg A and Reg D
Often, we are asked to consider assisting clients in obtaining funds for their start-up businesses. Before asking for money, new businesses must have an understanding as to their business plan…
In law, America tends to follow in the footsteps of its older sister, Britain. Sure, sure, we went our own way with that little Constitution thing back in the…
Continue Reading If England Attacks Executives’ Cheques, are US Execs’ Checks Next?
At a recent conference, federal regulators, including the DOJ and the SEC, stated that they are aggressively pursuing investigations into private equity and hedge funds and their FCPA compliance.
Most…
Continue Reading FCPA Action Against Private Equity and Hedge Funds
Responding to numerous complaints, especially, regarding companies operating from the People’s Republic of China, the SEC has determined that it will tighten the listing requirements for companies involved in reverse…
I read this interesting piece on the NYTimes.com today, “Pushing Back on Clawbacks” which describes how D&O insurers are now offering protection against a clawback. The companies argue…
Continue Reading Clawback Insurance – What Will the SEC Say?
It’s December, so its time for the usual blizzard of End-of-the-Year lists, reviews, recaps and predictions. Since I was already digging through the heap, I figured I would save you the trouble of doing the same. So here it is, your corporate governance Review and Preview Review, highlighting the major regulatory themes of 2011 and expectations for 2012.
Continue Reading End of the Year Review and Preview Review
