InhouseGo2 blog

Filed v. Furnished, What’s the Difference?

Posted by Jeffrey Morlend on Sep 18, 2017 1:45:10 PM

When disclosing information in a filing with the SEC, it is important to know whether such disclosure and any related exhibits should be "filed" or "furnished". To non-lawyers, this may seem like semantics or another technical difference among lawyers, but there is a distinct and important difference, which is oftentimes the cause behind the questions we receive from in-house counsel.

Read More

Topics: SEC, Securities Exchange Act, incorporation, SEC Filings

What's Coming in 2016? Data Security, Social Media and a Busy SEC

Posted by Administrator on Jan 25, 2016 4:11:26 PM

What's Coming in 2016? Data Security, Social Media and a Busy SEC

What will be the top issues for in-house counsel in 2016? From data breaches to securities laws, there will be no shortage of interesting legal questions to confront in the coming months.

Read More

Topics: data breach, SEC, social media

How to Prepare for Annual Reporting

Posted by Jeffrey Morlend on Jan 19, 2016 9:24:01 AM

Annual Reporting TipsAnnual reporting season is once again upon us, so as you dust off your to do list, here are a few of the many important items for in-house counsel to consider during the inevitable flurry of activity in the coming weeks. 

Read More

Topics: SEC, Form 10-K, Annual Reporting

Puffery Statements and Investor Relations

Posted by Administrator on Nov 24, 2015 2:05:08 PM


When J.C. Penney stated in investor communications that “supplier relationships remain as strong as ever” was the company being hopeful or factual? Further, could that kind of statement get a company in trouble? According to U.S. Magistrate Judge K. Nicole Mitchell in a recent proposed class action against J.C. Penney, it certainly may.[1]

Read More

Topics: SEC, puffery statements

Crowdfunding – What You Need To Know

Posted by Jeffrey Morlend on Nov 12, 2015 2:24:58 PM

New Developments in Crowdfunding from the SEC

The SEC recently issued under the JOBS Act the long-awaited crowdfunding rules, whereby small businesses may raise capital from a large number of investors, each of whom contributes a small amount of money, without going through the trouble of filing a registration statement with the SEC.  However, it is important to understand the limits and filing requirements imposed by the SEC before moving forward with a crowdfunding transaction.  

Read More

Topics: the JOBS Act, crowdfunding, SEC

Sullivan 4c

About the Blog

The legal landscape is changing and we're here to share our perspective

We want to help you lead your legal department both as a manager of people and as a thought leader within your company advising your executives on the myriad legal issues that present opportunities and challenges. We also understand that you may not have time to read every decision, rule change or trend that relates to your daily life in your company, and we hope that we can help keep you up to date on the important stuff.

The material on this site is for general information only and is not legal advice. No liability is accepted for any loss or damage which may result from reliance on it. Always consult a qualified lawyer about a specific legal problem.

Subscribe to Blog

Recent Posts

Posts by Topic

see all