Search results 54 items matching your search terms. Filter the results Item type Select All/None Blog Post News Item Folder Image Bill Material Collection Webinar Event Content Base opinion Page File case note EasyForm Committee Link New items since Yesterday Last week Last month Ever Sort by relevance date (newest first) alphabetically SEC Risk Alert on Investment Adviser Rule by Securities Law Committee — published Sep 22, 2022 — last modified Sep 23, 2022 10:20 PM — filed under: Securities Law Committee, Main News The SEC issued a risk alert on Monday (attached) about the new SEC’s Investment Adviser marketing rule, which becomes effective on November 4, 2022. It is ... Located in Committees / … / Securities Law Committee Resources / News SEC increases Emerging Growth Company Revenue Threshold, leaves Crowdfunding threshold unchanged. by Securities Law Committee — published Sep 20, 2022 — last modified Jan 08, 2023 10:09 PM — filed under: Securities Law Committee, Main News Per the attached release, the SEC has increased the Emerging Growth Company maximum revenue threshold to $1,235,000,000. The Crowdfunding threshold is ... Located in Committees / … / Securities Law Committee Resources / News SEC report says SEC Ombudsman neglected duties by admin — published Sep 19, 2022 — last modified Sep 23, 2022 10:17 PM — filed under: Securities Law Committee, Main News Findings Related to the Former SEC Ombudsman The U.S. Securities and Exchange Commission (SEC) Office of Inspector ... Located in Committees / … / Securities Law Committee Resources / News Fifth Circuit Opinion on Attorney Liability under Texas Securities Act by John R. Fahy — published Apr 18, 2019 — last modified Apr 18, 2019 02:32 PM — filed under: Securities Law Committee, Recently Posted Content On April 17, 2019 the Fifth Circuit Court of Appeals determined that that attorney immunity to third party claims applies to the Texas Securities Act. The ... Located in Committees / … / Securities Law Committee Resources / Blog Posts City of Fergus Falls, Minnesota, §5.M; §6.J; Rule 139.15, 3/1/1996 by Portal Admin — last modified Nov 15, 2022 09:41 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee §5.M available for revenue bond offering by a political subdivision of the State of Minnesota. Issuer was to use the offering proceeds to loan funds to a ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters ClearOne Communications, Inc., §5.E; §7; no action recommended; Rule 109.1, 7/13/1905 by Portal Admin — last modified Nov 15, 2022 09:41 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee No action recommended to require registration of stock to be issued to Texas residents in connection with a settlement of securities class action lawsuit, even ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Coil Tubing Technologies, Inc., §7; no action recommended, 9/15/1910 by Portal Admin — last modified Nov 15, 2022 09:41 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee No action recommended to require registration of additional shares of Coil Tubing stock to be issued in connection with settlement of lawsuit. Coil Tubing ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Collins/Bay Island Securities LLC, §5.H; §12; Rule 109.5; Rule 139.22, 7/1/1902 by Portal Admin — last modified Nov 15, 2022 09:41 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee Rule 109.3 [now Rule 109.5] exemption from registration as dealer available where company would solicit investments solely from financial institutions or other ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters CompUSA Inc., §7; no action recommended, 6/15/1993 by Portal Admin — last modified Nov 15, 2022 09:41 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee No action recommended to require registration of guarantees to be issued by subsidiaries of CompUSA Inc. in connection with CompUSA’s issuance of senior ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters Cookson America, Inc., §5.I(b); Rule 109.13(g), 4/10/1996 by Portal Admin — last modified Nov 15, 2022 09:41 PM — filed under: TSSB Interpretive Letter, Teaser, Securities Law Committee §5.I(b) available for sales of interests in a 401(k) savings plan and master savings trust offered to employees of the plan’s sponsor and its subsidiaries. The ... Located in Committees / … / Securities Law Committee Resources / Interpretive and Exemptive Letters 1 2 3 4 5 6 Next 10 items > Subscribe to an always-updated RSS feed.