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 Trading Suspensions Under the Securities Exchange Act
When the SEC issues a trading suspension pursuant to Section 12(k), trading in the security is halted for the period set forth…
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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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