January 2, 2014

Food for Thought: A Combined Form 144/4?

Did you know that Rule 144 is the sole form left that isn’t required to be filed electronically with the SEC? Recently, our very own Jesse Brill submitted this rulemaking petition, laying out the case for combining Form 144 and Form 4 – along with the sample combined form so that you can see what this might look like. Combining the forms would be a “win-win” as the SEC Staff, brokers & companies would save time and money – and investors would receive the information provided on a Form 144 sooner…

Comments on the New Reg D Proposals: Is the Tide Turning?

As noted by MoFo’s Anna Pinedo in this blog, despite many commentators weighing in against the latest round of proposed changes for Form D, Regulation D and Rule 156, SEC Commissioner Aguilar and Senator Levin have weighed in supporting the proposals. Here are the comments received – including this one from the ABA’s Business Law Section.

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– Broc Romanek