Securities & Exchange Commission (SEC)
More Securities & Exchange Commission (SEC) Articles
Finance
Long Odds: Appealing A Delisting Decision To The SEC
Sometimes you know the odds are long, and success for the other side is supposed to be a preordained walk-over victory. When a client has been wronged, however, you need to ignore the odds and trust that rational minds will prevail. Recently, we had the chance to represent CleanTech Innovations,...
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SEC Adopts Final Rules Permitting General Solicitation In Private Offerings
On July 10, 2013, the SEC at an open meeting (i) adopted final rules eliminating the prohibition against general solicitation and general advertising (hereinafter referred to as a general solicitation) in certain securities offerings conducted pursuant to Rule 506 of Regulation D under the...
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AIFMD July 22 Deadline Nears For Non-European Funds And Fund Managers
Key parts of the European Directive on Alternative Investment Fund Managers (AIFMD) will become effective on July 22, 2013. In particular, non-EEA managers who wish to market non-EEA funds to investors in Europe after July 22 will have to start complying with new rules and procedures under the...
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