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11 Apr 2012, 4:34 am
- Draft registration statements submitted confidentiality must be "substantially complete," including a signed audit report of the registered public accounting firm and exhibits consistent with the existing requirements for non-public submissions by foreign private issuers. [read post]
6 Jan 2021, 1:51 pm
On December 17, 2020, QuantumScape filed a registration statement for the sale of company securities held by insiders. [read post]
5 Aug 2020, 6:01 am
When voting by absentee ballot, if voters “are returning [their] completed absentee ballot by US Mail, the clerk must receive it by 5:00 p.m. on election day. [read post]
30 Mar 2011, 11:48 am
Fortunately, exemptions allow both the offering and manager to avoid registration. [read post]
5 May 2016, 8:00 am
Registration soon to available here (scroll down). [read post]
20 Apr 2015, 10:39 am
And what other courthouse gets 5 stars on yelp? [read post]
16 Nov 2015, 5:26 am
Self-driving Google car pulled over in California for going too slowlyAppeal court overturns lawyer's conviction for smuggling drugs into jailCop guilty of G20 assault won’t be fired — but he loses 5 days’ pay What Does It Really Mean to “Free the Law”? [read post]
13 Feb 2013, 4:45 pm
In our quarterly update materials, we share the key trends in: venture capital and emerging growth investing (overall investment decreased on a quarterly basis by 25% - software remained robust while investment in consumer products and services increased 232% over Q3 levels) venture capital fundraising (dollar commitments increased by 10% compared to 2011, with the top 5 venture capital funds accounting for 55% of total fundraising for Q4, on par with Q3) private equity… [read post]
6 Feb 2024, 11:04 am
In so holding, the Ninth Circuit reasoned that Rule 10b-5’s plain text differs from that of Sections 11 and 12(a)(2) of the Securities Act, which do allow for a private right of action based solely on an Item 303 violation. [read post]
7 Nov 2006, 5:26 pm
Oh, yeah, the SEC is going dis-imply Rule 10b-5 private causes of action and cap auditor liability, so maybe increased liability exposure isn’t a big concern. [read post]
15 Dec 2018, 8:51 am
This is the common exemption used for private placements of securities, and by complying with the applicable rules under Regulation D, there would be a safe harbor protecting the issuer against a registration violation. [read post]
3 Mar 2011, 5:00 am
The choice of registration would not affect the applicability of this proposed rule. [read post]
3 Mar 2011, 5:00 am
The choice of registration would not affect the applicability of this proposed rule. [read post]
24 Mar 2011, 8:56 am
The legislation repeals the exemption allowing GSE securities to avoid full SEC registration. [read post]
5 Nov 2009, 9:59 am
"NRA: Don't let adoption agencies ask about guns in homes By Marc Caputo, Times/Herald Tallahassee Bureau In Print: Thursday, November 5, 2009" "The Nation Rifle Association is pushing legislation to ban adoption agencies from asking potential parents if they have guns and ammunition in the home. [read post]
12 Sep 2008, 6:18 pm
Rule 701 is the easiest and primary way that companies obtain exemption from the registration requirements of the Act with respect to their compensatory stock options. [read post]
9 Mar 2012, 4:00 am
Whether it be a public or private, commercial or residential, and no matter how large or small the project or contractor, the first question I ask any potential client is – where’s the contract? [read post]
19 Sep 2022, 6:30 am
EPA. [5] (more…) [read post]
28 Nov 2023, 8:29 am
5. [read post]
8 Jun 2022, 5:18 pm
ASIC cancelled the registration of a number of SMSF auditors for failing to lodge their annual statements. [read post]
