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Browsing All posts tagged under »SEC«
Developments: SEC Announces Plans in the event of a Shutdown
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, […]
The Macaluso Report
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Recent Posts
- Overreach or not, the Corporate Transparency Act (CTA), effective January 1, 2024, will most likely apply to your business.
- A Comprehensive Guide to the Recent SEC Rules Applicable to Private Fund Advisors. What are they and how do they apply to you?
- SEC Adopts Expanded Reporting Requirements for Advisors to Private Funds
- ChatGPT is not for the faint of heart
- The Ghost of Lehman Brothers Past
Michael Macaluso, JD, MBA 
October 2, 2013
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