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Oct 03

SEC Committee on Small and Emerging Companies Publishes Final Report and Addresses SOX 404(b) and Securities Act Rule 701

In 2011, the SEC formed the Advisory Committee on Small and Emerging Companies (the “Committee”) to focus on interests and priorities of small business and smaller public companies. On September 13, 2017, the Committee met for the last time before the Committee’s charter expired on… Read More

Aug 03

Securities and Exchange Commission Addresses Virtual Currencies and Blockchain Technology

On July 25, 2017, the SEC issued a Report of Investigation under Section 21(a) of the Securities Exchange Act of 1934 (Exchange Act) describing an investigation of “The DAO,” a virtual organization, and its use of distributed ledger or blockchain technology to facilitate the offer… Read More

Feb 22

SEC Crowdfunding Investor Bulletin

Ernest Holtzheimer contributed to this blog post. Holtzheimer is a 3L at Drexel University Thomas R. Kline School of Law, concentrating in business and entrepreneurial law. On February 16, 2016, the SEC’s Office of Investor Education and Advocacy issued an investor bulletin relating to securities-based crowdfunding,… Read More