Search for: "Vanessa Schoenthaler"
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23 Jun 2014, 3:44 am
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]
25 Apr 2014, 3:51 am
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]
11 Dec 2013, 5:54 am
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]
11 Dec 2013, 5:54 am
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]
13 Feb 2013, 4:24 am
Meanwhile, FINRA has released an interim form for crowdfunding portals as noted in Vanessa Schoenthaler's blog [read post]
14 Jan 2013, 6:43 am
Sources: FINRA Releases Interim Form for Crowdfunding Portals by Vanessa Schoenthaler in 100 F Street [read post]
14 Jan 2013, 6:43 am
Sources: FINRA Releases Interim Form for Crowdfunding Portals by Vanessa Schoenthaler in 100 F Street [read post]
14 Jan 2013, 4:51 am
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]
17 Apr 2012, 5:00 am
., The Business Lawyer August 2011 http://ssrn.com/abstract=1971200 The SEC Releases the Division of RSFI’s Report on Regulation D Offerings by Vanessa Schoenthaler in 100 F Street SEC’s RiskFin Issues Report on Regulation D Offerings by Broc Romanek in TheCorporateCounsel.net SEC Issues Report on Regulation D Offerings by Steve Quinlivan in Dodd-Frank.com [read post]
13 Apr 2012, 4:12 am
And here is more analysis from Vanessa Schoenthaler's blog [read post]
16 Mar 2012, 5:33 am
Read more in Keith's blog as well as this analysis from Vanessa Schoenthaler's "100 F Street Blog. [read post]
29 Feb 2012, 4:23 am
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]
24 Jan 2012, 4:38 am
Hat tip to Vanessa Schoenthaler for her blog on this... [read post]
23 Dec 2011, 5:00 am
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]
19 Dec 2011, 3:23 am
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]
16 Dec 2011, 5:00 am
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]
1 Dec 2011, 5:33 am
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
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]
7 Sep 2011, 4:02 am
This forward-looking retrospective is due to President Obama's memo a few months ago recommending that independent agencies do this rethink (see Vanessa Schoenthaler's blog for the full background of Obama's memo). [read post]
11 Jul 2011, 3:43 am
CD&A - New Question 108.01 In her "100 F Street Blog," Vanessa Schoenthaler briefly describes these new CDIs. [read post]
