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Proposed Rule Changes to SEC Beneficial Ownership Reporting

USA - February 11 2022 On Feb. 10, 2022, the Securities and Exchange Commission (“SEC”) proposed amendments to the rules governing beneficial ownership reporting…

Eleazer Klein, Adriana Schwartz

NYSE Further Extends Waiver of Parts of ‘Related Party’ and ‘20%’ Stockholder Approval Rules

USA - October 9 2020 Recognizing that companies need quick access to capital due to the unprecedented disruption caused by COVID-19 and to mitigate against the NYSE…

Eleazer Klein, Adriana Schwartz

SEC Brings Enforcement Action Against Fund Manager for Single 13D Violation

USA - October 2 2020 The SEC brought charges against a fund manager for 13D violations, in yet another reminder that it will pursue enforcement actions against filers for…

Eleazer Klein, Adriana Schwartz

PIPEs Update: Nasdaq Provides Temporary Relief from Certain Shareholder Approval Requirements for PIPEs (COVID-19)

USA - May 11 2020 On May 4, 2020, the U. S. Securities and Exchange Commission approved Listing Rule 5636T (“Temporary Shareholder Approval Exemption”) proposed by The…

Eleazer Klein, Adriana Schwartz

PIPEs and Registered Directs: COVID-19 and Alternative Financing Transactions

USA - April 7 2020 Among the myriad issues raised by the COVID-19 pandemic is the need for alternative sources of financing for public companies. Private Investment in…

Eleazer Klein, Adriana Schwartz