Allegations of engaging in improper professional conduct or violating professional standards may prompt the Securities and Exchange Commission (SEC) to institute disciplinary proceedings against ac...
The Securities and Exchange Commission (SEC) closely scrutinizes the nature and extent of executive officer perquisites and personal benefits disclosed by public companies in annual proxy materials...
Hiring unregistered finders to solicit investors or facilitate private placement transactions carries major legal risks for microcap companies needing to raise capital. Avoiding violations requires...
Failing to properly disclose accumulating beneficial ownership exceeding 5% and concealing the identity of true executive officers guiding corporate strategy poses substantial regulatory risks for ...
Receiving a subpoena from the Securities and Exchange Commission can be an unnerving and jarring event for microcap companies and their executives. However, it is important to keep in mind that whi...
The Securities and Exchange Commission (SEC) is taking a renewed interest in employment and separation agreements that could discourage whistleblowing. In September 2023, the SEC announced enforcem...
The dissemination of false, misleading or improperly exaggerated press releases remains a pervasive problem in the microcap stock markets. Savvy investors must watch for "red flags" revealing unrel...
Two weeks ago, the Securities and Exchange Commission (SEC) initiated an eye-popping 50-plus new enforcement actions. In stark contrast, last week saw only three such actions. Although the quantity...
The NYSE submitted a proposed rule change to the SEC that would revise the initial listing requirements.
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Scott Taffet discusses how New York litigators are overlooking the Offer to Compromise as a powerful but underused settlement tool.
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