Tagged: Regulation FD

SEC Charges TherapeuticsMD with Regulation FD Violations

Exchange Act Reporting and Disclosure Effectiveness / Investor Relations and Communications / Securities Act Compliance

26 Aug, 2019

SEC Charges TherapeuticsMD with Regulation FD Violations

Last week, the SEC issued a reminder that Regulation FD remains a vital element of the federal securities regulations. In the first enforcement action regarding Regulation FD since 2013, the SEC charged TherapeuticsMD Inc., a pharmaceutical company, with violations of Regulation FD based on its sharing of material, nonpublic information with sell-side research analysts without also disclosing the same information to the public. The SEC’s...

SEC Proposes to Expand “Test-the-Waters” Modernization Reform to All Issuers

SEC Rulemaking / Securities Act Compliance

26 Feb, 2019

SEC Proposes to Expand “Test-the-Waters” Modernization Reform to All Issuers

The SEC proposed a new rule and related amendments that would expand the “test-the-waters” accommodation—currently available to emerging growth companies—to all issuers, including investment company issuers. Proposed Securities Act Rule 163B, if adopted, would significantly enhance an issuer’s ability to cost-effectively assess the demand for and valuation of its securities, and also provide insights into the structural components for the offering that are important to investors....

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avatar for Cam C. HoangCam C. Hoang

Cam helps clients with corporate matters including governance and...

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Jason assists clients in raising funds through capital mar...

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