Corporate Law News and Insights

SEC Scrutinizes Registered Investment Adviser’s Statements to Investors About Due Diligence

Published: Oct 03, 2022
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On April 23, 2019, the SEC entered a settled Order Instituting Administrative and Cease-and-Desist Proceedings (the OIP) against Charter Capital Management, LLC (CCM), a former Florida-based SEC-registered investment adviser (RIA), and Steven Morris Bruce, CCM's founder and sole managing member.1 The OIP imposed sanctions against CCM and Mr. Bruce for,...

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SEC Proposes Amendments To Financial Disclosures In M&A

Published: Oct 01, 2022
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This morning, once again without an open meeting—whatever happened to government in the sunshine?—the SEC voted to propose amendments intended to improve the disclosure requirements for financial statements relating to acquisitions and dispositions of businesses. According to the press release, the proposed changes are designed to "improve for investors the financial information about...

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Blockchain In Energy: Recent SEC Guidance On Tokenization

Published: Sep 29, 2022
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On Wednesday, April 3, the U.S. Securities and Exchange Commission published much anticipated guidance regarding blockchain and initial coin offerings. Bill Hinman, the Director of the Division of Corporation Finance, and Valerie Szczepanik, the Senior Advisor for Digital Assets and Innovation, developed the SEC's guidance, a "Framework for 'Investment Contract'...

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