General Counsel
Tw Li

May 03, 2021

First, the SEC; Now, FINRA

FINRA Proposes Applying Its Rules to Security-Based Swaps

Nihal Patel

Commentary by Nihal Patel

FINRA proposed amendments to clarify the application of FINRA rules to security-based swaps.

SEC Commissioners Offer Recommendations to Improve Access to Capital

Steven Lofchie

Commentary by Steven Lofchie

At a meeting of the Small Business Capital Formation Advisory Committee, SEC Commissioners offered recommendations to improve access to capital for underrepresented founders and investors.

Eight Companies Settle SEC Charges for Late-Filing Form Disclosure Violations

Kyle DeYoung

Commentary by Kyle DeYoung

Eight companies settled SEC charges for failing to adequately disclose in their Form NT reports the reasons they could not timely submit their filings.

Reg. Tracker: May 1 to May 15

Reg. Tracker: May 1 to May 15

The Cabinet Regulatory Tracker is a list of effective dates and comment deadlines.