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Featured Insights

Warren Buffet Says, 'If Your're Worried About Corrections, You Shouldn't Own Stocks

Featured Blogs

Certain Members of Congress Urge SEC to Enforce Existing Climate Disclosure Rules During Litigation

SEC's new climate disclosure rules are under litigation and a related stay. The lawmakers urge the SEC to maintain its focus on climate matters, highlighting a broader commitment to transparency and environmental accountability.Read More

Free Writing Prospectus

I’m finding a lot of good segues recently – flowing from my discussion on the definition and implications of shell company status in a reverse merger (see HERE) is the topic of a free writing prospectus (“FWP”). In particular, what is a free writing prospectus, when and how is it used, and what companies are eligible for its use.Read More

SEC And FINRA Joint Statement On Custody Of Digital Assets

On July 8, 2019, the SEC’s Division of Trading and Markets and FINRA’s Office of General Counsel issued a joint statement on broker-dealer custody of digital asset securities (“Joint Statement”). The SEC and FINRA have been discussing issues of custody related to tokens and digital assets for years. For example, issues surrounding the custody of digital assets have been continuously cited by the SEC as one of the reasons for the failure to approve a cryptocurrency ETF.Read More