Wednesday, December 21. 2022

SEC Staff Publishes Annual Report on Capital Raising

On December 16th, the SEC’s Office of the Advocate for Small Business Capital Formation released its 2022 Annual Report to Congress and the SEC. The report summarizes how entrepreneurs and investors are building companies together, from startups to small public companies. Continue reading "SEC Staff Publishes Annual Report on Capital..." »
Posted by
LeAnn Dey
in SEC at 16:23

SEC Adopts Amendments to Update Rule 10b5-1 Insider Trading Arrangements and Related Disclosures

On December 14th, the SEC adopted amendments to Rule 10b5-1 under the Exchange Act, which provides affirmative defenses to trading based on material, nonpublic data within insider trading cases. The SEC first adopted Rule 10b5-1 in August 2000 to address instances when insider trading liability arises in connection with a trader’s use or knowing possession of material nonpublic information. Continue reading "SEC Adopts Amendments to Update Rule 10b5-1..." »
Posted by
LeAnn Dey
in SEC, SEC Filing Help at 08:14
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