Christopher J. Cummings

Articles

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Acting SEC Chair Allison Herren Lee Issues Statement on the Review of Climate-Related Disclosure

USA - February 25 2021 Acting SEC Chair Allison Herren Lee issued a statement yesterday (available here) that she has directed the Staff of the SEC’s Division of…

Andrew J. Foley, Brian M. Janson, David Curran, David S. Huntington, John C. Kennedy, Mark S. Bergman, Raphael M. Russo, Sofia D. Martos, Tracey A. Zaccone.

SEC Division of Corporation Finance Issues Sample Comments for Issuers Conducting Offerings During Periods of Volatility

USA - February 18 2021 In response to recent volatility in the stock price of certain companies, the Staff of the Division of Corporation Finance has issued a Sample Letter…

Brian M. Janson, David S. Huntington, John C. Kennedy, Mark S. Bergman, Raphael M. Russo, Tracey A. Zaccone.

2020 Year-End U.S. Legal & Regulatory Developments

USA - January 15 2021 The following is our summary of significant 2020 U.S. legal and regulatory developments of interest to Canadian companies and their advisors. The…

Adam M. Givertz, Andrea Quek, Andrew J. Foley, Christian G. Kurtz, Katharine S. Wilson, Rosita Lee, Stephen C. Centa, Thea Winterton-Perks.

Update on NYSE Shareholder Approval Requirements: Waiver Extension and Proposed Amendments

USA - January 12 2021 The NYSE has extended its waiver of certain shareholder approval requirements applicable to issuances to related parties and private placements in…

Brian M. Janson, David S. Huntington, Frances F. Mi, John C. Kennedy, Mark S. Bergman, Tracey A. Zaccone.

SEC Proposes Amendments to Rule 144

USA - December 28 2020 The SEC recently proposed amendments (available here) to Rule 144 (which sets forth a non-exclusive safe harbor from registration for resales of…