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Results: 1-10 of 294

NYSE Withdraws Proposal to Permit Listing Without an IPO
  • Duane Morris LLP
  • USA
  • June 30 2017

On June 19, 2017, the New York Stock Exchange withdrew its proposal, originally submitted in March, to allow companies to list on the big board


Proposed Revisions to the Consolidated Reports of Condition and Income (Call Report)
  • Duane Morris LLP
  • USA
  • June 27 2017

Effective today, the Federal Deposit Insurance Corporation (FDIC), the Federal Reserve Board, and the Office of the Comptroller of the Currency


SEC Reopens the Front Door for Small Cap Listings as First Regulation A IPO Trades on National Exchange
  • Duane Morris LLP
  • USA
  • June 13 2017

Duane Morris client Myomo Inc., a medical robotics company, completed its initial public offering on June 9, 2017 under SEC Regulation A created


Reigning in the SEC: The Supreme Court Limits Disgorgement to a Five-Year Statute of Limitations
  • Duane Morris LLP
  • USA
  • June 6 2017

In yet another setback for the SEC, the Supreme Court unanimously decided that disgorgement actions, a cornerstone of SEC enforcement, are subject to


Home-Field Advantage? Scrutinizing the Independence of the SEC’s ALJs
  • Duane Morris LLP
  • USA
  • May 10 2017

In the last few weeks, the SEC and its administrative law judges ("ALJs") have tested the truthfulness of the old adage, "There's no such thing as bad


Time is Running Out for the SEC: The Circuit Split on Limiting SEC Disgorgement to a Five-Year Statute of Limitations Signals an Impending Major Change
  • Duane Morris LLP
  • USA
  • April 13 2017

Under the new Administration, we have been promised a new tone regarding how Government interfaces with the market. This "change" is of particular


Spotify May Go Public With “Self-Filing”
  • Duane Morris LLP
  • USA
  • April 8 2017

IPO alternatives appear to be alive and well as we learn from press reports that unicorn music service Spotify may go public through a “self-filing,”


“T2” Trade Settlement Arrives
  • Duane Morris LLP
  • USA
  • March 30 2017

Last week, the SEC approved a rule change that shortens the typical settlement period for public trading through brokers (known as "T" for "trading


The Growing Importance of Consumer Compliance in Community Reinvestment Act Ratings: Did the OCC Cross the Line In Its CRA Rating of Wells Fargo
  • Duane Morris LLP
  • USA
  • March 29 2017

Media reports have recently focused on the Needs to Improve Community Reinvestment Act (CRA) rating assigned to Wells Fargo Bank, National Association


Just a Snap to Huge IPO
  • Duane Morris LLP
  • USA
  • March 9 2017

It appears the initial public offering market is indeed waking up. Last Thursday, Snap Inc. raised $3.4 billion in its IPO onto the New York Stock