SEC Enforcement Actions Decline in 2020
According to the annual report published by the Division of Enforcement of the U.S. Securities and Exchange Commission (the "SEC"), there were…
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SEC Provides Form S-3 Coronavirus Relief – Securities Lawyer 101
The SEC has provided relief to Form S-3 issuers because of coronavirus. Form S-3 is a short-form registration statement that consists primarily…
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Expedited Regulation Crowdfunding Offering Rules For Coronavirus Impacted Issuers
The SEC’s Regulation Crowdfunding temporary rules are intended to expedite the crowdfunding offering process for smaller, previously established companies directly or indirectly…
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SBA Offers Small Business Loans in Response to Coronavirus – COVID-19
U.S. Small Business Administration Offers Funding in Response to COVID-19. The Coronavirus Preparedness and Response Supplemental Appropriations Act (the “Act”), passed with…
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Investor Relations and Rule 506 (c) Offerings
Rule 506(c) of Regulation D. Rule 506(c) removes the 80-year prohibition against the general solicitation and advertising of private placements.
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SEC Issues New Rule 506 Guidance
Some of the shareholders of a Rule 506 issuer have entered into a voting agreement under which each shareholder agrees to vote…
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