Photograph of skyscrapers with glass windows from the ground facing up to a blue sky

Tag: Regulation S-K

Band Aid on boys Knee

Issuers Get Proactive in Disclosing Wells Notices

Band Aid on boys Knee

When an issuer gets a “Wells Notice,” it must ask itself two questions. The first is “what’s my lawyer’s phone number?” After all, getting a Wells Notice—a note from the SEC warning the recipient that it may bring charges for securities vio...

Read More
People playing in Tug of war contest

Four Takeaways from the Government’s 2021 Budgets

People playing in Tug of war contest

The White House and the SEC released proposed budgets for the year 2021 last week, and they tell a compelling story of internal conflict. Don’t get us wrong: the proposals are terribly boring to read. But when you step back far enough from...

Read More