Browsing All posts tagged under »SEC«

Developments: SEC Announces Plans in the event of a Shutdown

October 2, 2013


Below is a reprint of what I consider a good overview of the contingency plans for the looming government shutdown announced by the U.S. Securities and Exchange Commission (SEC) written by my colleague Edward Johnsen.   In a separate note entitled “Here comes the Shutdown: Key Points” which deals with the mechanics of the shutdown more generally (see link […]

Developments: Reaching U.S. Investors in New Ways

August 13, 2013


The U.S. Securities and Exchange Commission (“SEC”) recently adopted final rules which will provide funds and other issuers greater flexibility in conducting private offerings of securities in the U.S.  These rules, which relax long-time restrictions on general solicitation and advertising, take effect on September 23, 2013. It is no exaggeration to say that these new rules change the game for issuers, […]