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Scarinci Hollenbeck remains committed not only to providing top-tier legal services but also to regularly providing information and resources to our client base and internet following. Client Alerts provided by our attorneys supply businesses, municipalities, and more with the latest and relevant legal updates that may impact them and how they might be able to proceed.
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    SEC Takes Actions Against Issuers for Failure to File Form D post image

    SEC Takes Actions Against Issuers for Failure to File Form D

    In December, the U.S. Securities and Exchange Commission (SEC) announced charges against two privately held companies for failing to file a Form D notice, which is generally utilized for exempt securities offerings. Here, the SEC’s enforcement sends a strong message: compliance with regulatory requirements is not optional and failure to comply can have significant consequences. […]

    Author: Kenneth C. Oh

    Link to post with title - "SEC Takes Actions Against Issuers for Failure to File Form D"

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