Search for: "Vanessa Schoenthaler" Results 1 - 20 of 27
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1 Dec 2011, 5:33 am by Doug Cornelius
Vanessa Schoenthaler notes that “during the seven weeks for which data is available, the Commission received 334 whistleblower tips. [read post]
17 Nov 2011, 4:21 am by Broc Romanek
The SEC's Office of the Whistleblower Issues Its First Annual Report As blogged by Vanessa Schoenthaler yesterday, the SEC's Office of the Whistleblower has issued its first annual report as required by Dodd-Frank. [read post]
23 Dec 2011, 5:00 am by Doug Cornelius
The SEC Issues Disclosure Guidance on RELPs and REITs by Vanessa Schoenthaler in 100 F Street The Securities and Exchange Commission’s Office of Investor Education and Advocacy published an Investor Bulletin on real estate investment trusts (REITs) and, at the same time, the Division of Corporation Finance issued informal disclosure guidance detailing the comments it most frequently raises when reviewing sales materials submitted by real estate limited partnerships (RELP) and… [read post]
29 Feb 2012, 4:23 am by Broc Romanek
SEC Commissioner Aguilar Urges Mandated Political Spending Disclosure Last week, SEC Commissioner Luis Aguilar delivered this speech - entitled "Shining a Light on Expenditures of Shareholder Money" - urging the SEC to act in the newly hot area of political contribution disclosures (Vanessa Schoenthaler's blog notes Chair Schapiro's comments on the topic). [read post]
16 Dec 2011, 5:00 am by Doug Cornelius
The SEC’s Plan of Operations In the Event of a Government Shutdown by Vanessa Schoenthaler in 100 F Street Faced, yet again, with the possibility of a government shutdown (tomorrow at midnight), the Securities and Exchange Commission has published its latest Plan of Operations During a Lapse in Appropriations. [read post]
11 Jul 2011, 3:43 am by Broc Romanek
CD&A - New Question 108.01 In her "100 F Street Blog," Vanessa Schoenthaler briefly describes these new CDIs. [read post]
25 Apr 2014, 3:51 am by Broc Romanek
Vanessa Schoenthaler blogs about this fight letter that was filed in the Harvard Illinois Bancorp proxy fight, which features a picture of the company’s chair sleeping during last year’s annual shareholders meeting. [read post]
13 Feb 2013, 4:24 am by Broc Romanek
Meanwhile, FINRA has released an interim form for crowdfunding portals as noted in Vanessa Schoenthaler's blog [read post]
13 Apr 2011, 4:37 am by Broc Romanek
See more on Vanessa Schoenthaler's blog including an update that Anne Leslie-Bini of rass-XBRL tells us that as of last June, there were 174 FPIs filing IFRS financials - with more than 300 additional now eligible to do so. [read post]
14 Jan 2013, 6:43 am by Doug Cornelius
Sources: FINRA Releases Interim Form for Crowdfunding Portals by Vanessa Schoenthaler in 100 F Street [read post]
23 Jun 2014, 3:44 am by Broc Romanek
And in her blog, Vanessa Schoenthaler notes that Senator Sherrod Brown (D-Ohio), Chair of the Banking Subcommittee on Financial Institutions and Consumer Protection, recently wrote a letter to Chair White questioning the Commission’s practices and procedures related to waiver of the automatic disqualification provisions… - Broc Romanek [read post]
14 Jan 2013, 4:51 am by Broc Romanek
FINRA Releases Interim Form for Crowdfunding Portals Here's something blogged on Friday by Vanessa Schoenthaler in the "100 F Street" Blog: Last week, FINRA announced that it would begin accepting information on a voluntary basis from prospective crowdfunding portals. [read post]
14 Jan 2013, 6:43 am by Doug Cornelius
Sources: FINRA Releases Interim Form for Crowdfunding Portals by Vanessa Schoenthaler in 100 F Street [read post]
19 Dec 2011, 3:23 am by Broc Romanek
SEC Reconsidering 17 Rules for Small Business Impact (Including Reg FD and Insider Trading Rules) As Vanessa Schoenthaler blogged in her "100 F Street Blog," the Regulatory Flexibility Act of 1980 requires federal agencies to review those rules that "have a significant economic impact upon a substantial number of small entities ... to determine whether [they] should be continued without change, or should be amended or rescinded ... [read post]
14 Mar 2011, 5:08 am by Broc Romanek
Here's analysis of the consultant's report from Vanessa Schoenthaler's "100 F St. [read post]
22 Feb 2011, 4:25 am by Broc Romanek
In her "100 F Street" Blog, Vanessa Schoenthaler analyzes "The Anatomy of a Shareholder Vote Calculation." 3. [read post]
16 Mar 2012, 5:33 am by Broc Romanek
Read more in Keith's blog as well as this analysis from Vanessa Schoenthaler's "100 F Street Blog [read post]
11 Dec 2013, 5:54 am by Doug Cornelius
References: New Q&As from the SEC on Rule 506(d) New Rule 506 C&DI’s Require Some Explaining by Keith Paul Bishop in California Corporate & Securities Law New SEC Guidance on “Bad Actor” Disqualifications from Rule 506 Offerings by Yelena Barychev in Securities News Watch The SEC’s Latest C&DIs Related to Bad Actor Disqualification by Vanessa Schoenthaler in 100 F Street Rule 506(d) Release 33-9414 (.pdf) [read post]