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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, Christopher J. Cummings, David Curran, David S. Huntington, John C. Kennedy, Mark S. Bergman, Raphael M. Russo, Sofia D. Martos.

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, Christopher J. Cummings, David S. Huntington, John C. Kennedy, Mark S. Bergman, Raphael M. Russo.

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, Christopher J. Cummings, David S. Huntington, Frances F. Mi, John C. Kennedy, Mark S. Bergman.

SEC Division of Corporation Finance Issues SPAC Disclosure Guidance

USA - January 4 2021 The Staff of the Division of Corporation Finance recently issued CF Disclosure Guidance: Topic 11 - Special Purpose Acquisition Companies (available…

Brian M. Janson, David Curtiss, David S. Huntington, Gregory F. Laufer, John C. Kennedy, Mark S. Bergman, Raphael M. Russo.

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…

Brian M. Janson, Christopher J. Cummings, David S. Huntington, John C. Kennedy, Mark S. Bergman, Raphael M. Russo.