February 21, 2014

Take Two Video: “The SEC’s Disclaimer”

Did you know that the disclaimer that SEC Staffers give when they speak is actually required by law? I recently learned that on my own even though I gave that disclaimer many times when I spoke in my capacity as a Staffer. Here is a 1-minute video about the disclaimer’s origins – I tried to inject some humor at the end:

Farewell to Sandra Folsom Kinsey

I’m sad to inform you that Sandra Folsom Kinsey recently passed away. Sandra worked at Hogan Lovells twice, both before and after a 12-year stint in Corp Fin during the ’90s and early ’00s, where she primarily worked in the Office of International Corporation Finance. She was a real sweetheart and we will miss her. She was married to Walt Kinsey, who also worked at the SEC. Here is an obituary, that also has a guest book.

FINRA Proposes More Changes to Corporate Financing Rule

In this blog, Steve Quinlivan notes that FINRA has proposed even more changes to Rule 5110 – on top of the ones I blogged a few weeks ago. These new proposed changes would impact unfair arrangements, termination fees and right of first refusals…

– Broc Romanek