Nicole Cors

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Latest Posts › Securities and Exchange Commission (SEC)

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Market Trends 2020/21: Cybersecurity-Related Disclosures

SEC Focus - The Securities and Exchange Commission (SEC) has been focused on cybersecurity issues for over a decade, tracing back to its initial guidance on this topic in 2011. On October 16, 2018, the SEC released a...more

8/12/2021 / Cyber Attacks , Cybersecurity , Data Breach , Data Security , Disclosure Requirements , Financial Markets , Publicly-Traded Companies , Regulation S-K , Securities and Exchange Commission (SEC) , Securities Regulation

Market Trends 2020/21: Brexit Disclosure - A Practical Guidance

This practice note identifies Brexit-related disclosures that offer detailed discussions of its effects, including how Brexit might impact the company, its employees, management, operations, and prospects. The company name,...more

8/9/2021 / Disclosure Requirements , Financial Markets , Investment , MD&A Statements , Prospectus , Regulation S-K , Regulatory Requirements , Securities and Exchange Commission (SEC) , UK Brexit

On point. – General Solicitation and General Advertising

Overview Rule 502(c) (“Rule 502(c)”) of the Securities Act of 1933, as amended (the “Securities Act”), prohibits an issuer from offering or selling securities by any form of general solicitation or general advertising when...more

6/7/2021 / Advertising , Investment , Offerings , Securities and Exchange Commission (SEC) , Securities Regulation , Securities Transactions , Solicitation

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