An SEC proposal to amend rules and forms that would "mitigate the risk of unregistered distributions in connection with sales of market-adjustable securities" was published in the Federal Register.
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The SEC proposed amendments to rules and forms to “mitigate the risk of unregistered distributions in connection with sales of market-adjustable securities.”
The Investment Company Institute and the Managed Funds Association responded to an SEC concept release on Securities Act registration exemptions that facilitate capital raising.
The House Financial Services Subcommittee on Investor Protection, Entrepreneurship and Capital Markets examined several proposed bills concerning the current exempt offering framework in private securities markets.
The SEC Division of Corporate Finance granted no-action relief allowing a company's common stock to be issued as part of a class action settlement without registration under the Securities Act.