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Category: SEC

Fashion models lined up showcasing regulation best interest.

Reg BI Headlines Four Securities Enforcement Priorities for 2020

Fashion models lined up showcasing regulation best interest.

It’s January, and around Washington, D.C., that means it’s time for government agencies to declare their priorities for the coming year. They’re like annual fashion “in and out” lists, but for bureaucrats. So, what’s popping this year in se...

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Whisp of smoke with black background

SEC Qualifies First Offering by U.S. Pot Grower

Whisp of smoke with black background

From the release of Cheech & Chong’s Up in Smoke in 1978 to former House Speaker John Boehner joining the board of a cannabis company forty years later, it’s been a long strange trip to legitimacy for the marijuana market. That chronic...

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Stretching the fabric for a workout

SEC Moves Forward with Expansion of “Accredited Investors”

Stretching the fabric for a workout

There’s a famous anecdote about a conversation between F. Scott Fitzgerald and Ernest Hemingway regarding the super rich. The author of The Great Gatsby supposedly told Hemingway, “The rich are different from us.” Hemingway is said to have...

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Five Key Things the SEC Wants Audit Committees to Know

Five Key Things the SEC Wants Audit Committees to Know

Five Key Things the SEC Wants Audit Committees to Know

Officials from the Securities and Exchange Commission gave public companies a belated Christmas gift on December 30, offering insights into their thoughts on a range of accounting issues. Commission officials have dropped hints about their...

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woman dips toe in water

“Test-the-Waters” Rule Lets Companies Dip a Toe in IPOs

woman dips toe in water

It has been a rough year for IPOs, as highly touted offerings keep flopping. Ride-sharing service Uber Technologies Inc. has seen its stock price fall more than 30% from the time it went public in May. The stock of Lyft Inc., meanwhile, is...

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