Blog

New Cybersecurity Disclosure Rules

The topic of cybersecurity disclosure has been on the Securities and Exchange Commission (SEC)’s radar since at least 2018, when it released preliminary cybersecurity disclosure guidance. The SEC took another…

Important SEC Distinction: Furnished vs. Filed

When companies submit information to the Securities and Exchange Commission (SEC), they must be aware of the critical distinction between “furnished” and “filed” information. This differentiation has significant implications for…

Insider Trading Regulations and Interpretations

A Brief Overview Insider trading is the illegal practice of buying or selling a public company’s securities on the basis of material non-public information. It is prohibited under the anti-fraud…

Private Placements

A private placement is a sale of securities to pre-selected investors and institutions rather than on the open market. It is often used as an alternative to an initial public…

Regulation A

For years, companies wishing to sell their shares to the public registered new shares with the Securities and Exchange Commission (SEC) using Form S-1 registration statements because they allow companies…

Regulation CF

On November 2, 2020 the Securities and Exchange Commission (SEC) approved long-awaited rule changes to the exempt offering framework for securities regulations. These changes include significant revisions to Regulation Crowdfunding…