On November 2, 2020, the U.S. Securities and Exchange Commission (SEC) voted to adopt amendments proposed in March 2020 that harmonize and modernize the exempt offering framework (referred to as the Amendments). As with several other recent votes to adopt rule proposals, the SEC Commissioners split their vote, with two Commissioners voting against the Amendments.
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April 212022
Top 10 Practice Tips: Lock-Up Agreements
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April 202022
Proposed Rules Could Require Dealer Registration by Principal Trading Firms, Private Funds, Investment Advisers and Other Market Participants
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