“Test-the-Waters” Rule Lets Companies Dip a Toe in IPOs
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...
SEC Completes Annual Enforcement Push
For many working professionals, the phrase “end of the fiscal year” can really twist the stomach. It’s just another date on the calendar, but wh...
SEC Targets Proxy Advisers With New Guidance
Public companies haven’t been shy lately when it comes to voicing their frustrations with proxy advisory firms. And it seems the SEC has been listen...
Companies Enlist Media to Avoid Gag on Non-GAAP Earnings
It’s like the old problem of the tree falling in the forest: if your positive earnings never get reported to the public, did they even make a sound?...
SEC’s Reg S-K Changes Modernize Disclosure Requirements
Regulation S-K is a cornerstone of the financial regulatory system, but that doesn’t mean it doesn’t need some maintenance work every few decades....
SEC Issues Second No-Action Letter for Crypto Sales – This Time for Gamers
Twelve-year-old George Weiksner may hold the title of youngest CEO in the United States. When Weiksner was 11, he and his dad, Michael, co-founded Poc...