and information sheets on time. A P100 penalty will be levied by the SEC for everyday of delay. The move to revoke the certificates of registration of these firms was spurred by their failure to ...

The JOBS Act, enacted in April 2012, required the U.S. Securities and Exchange ... review of their draft initial registration statements must attach a cover letter to their registration statements ...

The SEC’s proposal would build upon Regulation A, which is an existing exemption from registration for small offerings of securities up to $5 million within a 12-month period. The updated ...

Rules 415, 456 and 457 under Regulation C generally set forth the relevant rules under the Securities Act provisions, while Rules 0-9 and 0-11 generally cover Exchange Act transactions.

The SEC published a Fact Sheet on allowing advertising for issuers ... offering with the SEC or rely on an exemption from registration. Most of the exemptions from registration prohibit companies ...

THE Securities and Exchange Commission (SEC) announced that company registration process would be fully online, with no notarization and hard copy submission required. The move is embodied in ...

The SEC updated its registration requirements for internet-based investment advisers, aiming to fill decades-old gaps in the regulatory framework and enhance investor protection in the digital world.