- Application Of The Safe Harbor For Forward|Looking Statements🔍
- SEC's Safe Harbor for Tokens Is an Incomplete Solution🔍
- Chamber Submits Comments to SEC on Proposed Safe Harbor for ...🔍
- The Substantive Limits of Liability for Inaccurate Predictions🔍
- SEC Confirmation on “Soft Dollars” Safe Harbour🔍
- SPAC Mergers🔍
- How to Conduct a Reg D 🔍
- Client Commission 🔍
THE SEC SAFE HARBOR FOR FORECASTS|A STEP IN THE ...
Application Of The Safe Harbor For Forward-Looking Statements
In so doing, the SEC recognized that management projections concerning future economic performance were "of significant importance" to informed investor ...
SEC's Safe Harbor for Tokens Is an Incomplete Solution
Early in 2020, Commissioner Hester Peirce of the Securities and Exchange Commission proposed a new rule to give token issuers temporary safe harbor from ...
Chamber Submits Comments to SEC on Proposed Safe Harbor for ...
The Statement sets forth a five-year temporary safe harbor for broker-dealers seeking to custody “digital asset securities.”
The Substantive Limits of Liability for Inaccurate Predictions
debate over the stage of litigation at which courts ought to apply the PSLRA safe harbor ... projections.” Safe Harbor Rule For. Projections, Securities Act ...
SEC Confirmation on “Soft Dollars” Safe Harbour
Section 28(e) of the Securities Exchange Act of 1934 creates a safe harbor that allows private fund managers (and other investment advisers), under certain ...
SPAC Mergers, IPOs, and the PSLRA's Safe Harbor
Harbor for Forecasts—a Step in the Right Direction?, 1980 DUKE L.J. ... Safe Harbor Rule for Projections, Securities Act Release No. 33-6084, 44 Fed ...
How to Conduct a Reg D (Private Placement) Offering
By relying on these safe harbors, companies can reduce the risk of non-compliance with federal securities laws (and in some cases, state securities laws) in ...
... safe harbor involves three steps: First, the money manager must determine ... harbor and are not considered incidental to effecting securities transactions.
A License to Lie: The Private Securities Litigation Reform Act's Safe ...
safe-harbor provision); Safe Harbor Rule for Projections, Securities Act Release No. ... safe-harbor provision was inapplicable because at the pleading stage, " ...
... steps to verify that the purchasers are accredited investors. ... Rule 147, a “safe harbor” under Section 3(a)(11), and the intrastate ...
Drafting Effective SEC-Compliant Risk Factors - Bloomberg Law
§ 229.10(b), encouraging disclosure of projections of future economic performance. Item 10(b)(3)(ii) provides that issuers should consider presenting the ...
Securities Law for Startups - Davis Wright Tremaine
The most common exemption used by startups to raise money is Rule 506 of Regulation D, which offers what is referred to as a "safe harbor" for private ...
Court's Broad Interpretation of Definition of "Securities Contracts ...
According to the legislative history of section 546(e), the purpose of the safe harbor is to prevent "the insolvency of one commodity or ...
The Enhancement and Standardization of Climate-Related ...
The final rules provide a safe harbor for climate-related disclosures pertaining to transition plans, scenario analysis, the use of an internal ...
DEALING WITH ANALYSTS: - Katten Muchin Rosenman LLP
accordance with the safe harbor will be afforded greater protection from securities fraud complaints ... made, projections which turn out inaccurate may ...
... the SEC, most companies prefer to use Alternative 1 and take advantage of the Form 8-K Item 2.02(b) 48-hour safe harbor. Also see SEC Exchange Act. Form 8-K ...
To that end, the PSLRA created a statutory safe harbor for forward looking statements designed to protect projections or estimates that are identified as ...
False Forward-Looking Statements and the PSLRA's Safe Harbor
Steinberg, Securities Law After the Private Securities Litigation Reform Act—Unfinished. Business, 50 SMU L. REV. 9, 19–20 (1996) (forecasting “greater flow of ...
Heads Up — SEC Issues Final Rule Related to SPACs, Shell ...
The SEC similarly withdrew proposed Rule 3a-10 under the Investment Company Act of 1940, which would have provided a safe harbor for a SPAC that ...
Overview of New Securities Act Rule 152 on Integration - O'Melveny
In November 2020, the SEC decided to adopt a single safe harbor rule on integration to simplify the integration framework under the Securities ...