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The Remarkably Unpopular “Regulation A” Securities Offering 11 Jul 2012 | 12:18 am
Good luck finding a strip mall (or anything for that matter) that was financed with Regulation A… Private placements are investments that typically are offered to a select group of individuals withou...
Section 83(b) Elections – Consider Them When Granting or Receiving Restricted Stock 29 Jun 2012 | 04:46 am
In June 2012, the IRS published a sample Section 83(b) election form (available here) that may be used for making a Section 83(b) election regarding restricted stock. A Section 83(b) election allows ...
Compensation Consultants for Public Companies Must Be “Independent” Per New SEC Rules – More Rules in the Pipeline 27 Jun 2012 | 06:36 am
On June 20, 2012, the SEC adopted final rules requiring companies to disclose whether consultants to its compensation committee have any existing conflicts of interest with the company. Factors that ...
Community Banks De-Registering with SEC Pursuant to JOBS Act 31 May 2012 | 02:58 am
Community banks continue to take advantage of new JOBS Act thresholds that now allow banks with less than 1,200 shareholders[1] to deregister with the SEC. Prior to April 2012, the deregistration thr...
Community/Regional Banks Continue to Outperform Big Banks in the Stock Market 25 May 2012 | 06:33 am
Stock investors currently are valuing the community/ regional banking sector at a higher price-to-book value ratio than the largest U.S. banks, as recently highlighted in a WSJ article. The valuation...
When Selling Stock or Assets to Non-U.S. Buyer, Remember Your CFIUS Filing 17 May 2012 | 07:53 am
When a U.S. business sells a company or assets to a non-U.S. buyer and the sale has potential national security implications, companies typically conduct a CFIUS filing in order to clear the transacti...
Public Companies – Clawback Policy for Accounting Restatements Expected in 2012 29 Dec 2011 | 07:42 am
In the first half of 2012, the Securities and Exchange Commission is expected to issue new rules requiring public companies to implement a clawback policy mandating the recoupment of certain incentive...
Final Dodd-Frank Whistleblower Rules Adopted by SEC 27 May 2011 | 03:46 pm
On May 25, 2011, the SEC issued final rules governing the new whistleblower bounty program mandated by last year’s Dodd-Frank financial reform law. Under the new rules, if a whistleblower provides in...
New Food Safety Whistleblower Law Impacts Food Companies 15 Mar 2011 | 03:07 pm
Little noticed by the general public but of intense interest to the food industry, in January 2011, President Obama signed the most sweeping food safety legislation of the past 70 years. The FDA Food...
Obtain Better Loan Rates – Iowa Midwest Disaster Area Bonds 10 Feb 2011 | 11:02 am
People often think of tax-exempt bonds as something used only by state or municipal governments or not-for-profits. However, due to legislation designed to help Iowa (and other affected states such a...
