News & Analysis as of

Venture Capital Securities Exchange Act of 1934

Wilson Sonsini Goodrich & Rosati

REMINDER: New Schedule 13G Filing Deadlines

In October 2023, the U.S. Securities and Exchange Commission (SEC) approved final rules amending the beneficial ownership reporting requirements under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934 (Exchange...more

Ward and Smith, P.A.

Companies Seeking Capital—Be Wary of "Consultants" Who Want to Help

Ward and Smith, P.A. on

A significant part of our corporate practice is advising clients who want to raise capital.  For larger, institutional clients who attract the attention of reputable investment bankers, the process is straightforward....more

Proskauer Rose LLP

Wealth Management Update - December 2023

Proskauer Rose LLP on

Shining a Light on the Corporate Transparency Act: FinCEN’s Rules for Beneficial Ownership Reporting - On January 1, 2021, Congress enacted the Corporate Transparency Act (the “CTA”) as part of the Anti-Money Laundering...more

Winstead PC

SEC and DOJ Go On An Insider-Trading Enforcement Spree

Winstead PC on

Last week, the U.S. Securities and Exchange Commission brought five insider-trading cases against a slew of individuals. The U.S. Attorney’s Office for the Southern District of New York also announced parallel criminal...more

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