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Confidential Submission of Draft Registration Statements Expanded

USA - July 3 2017 On June 29, 2017, the SEC announced that the Division of Corporation Finance (the Division) will permit all companies to confidentially submit draft...

Robert W. Downes, Robert W. Reeder III, Ari B. Blaut, Scott D. Miller, William G. Farrar, Donald R. Crawshaw, John E. Estes, Catherine M. Clarkin, David B. Harms.


Auditor's Reports - PCAOB Adopts New Auditor Reporting Standard and Other Amendments Relating to the Auditor's Report

USA - June 5 2017 The Public Company Accounting Oversight Board has adopted Auditing Standard No. 3101, The Auditor's Report on an Audit of Financial Statements When...

Robert W. Downes, Robert W. Reeder III, Ari B. Blaut, Robert G. DeLaMater, William G. Farrar, Donald R. Crawshaw, John E. Estes, Catherine M. Clarkin, David B. Harms.


FINRA Corporate Financing - FINRA Solicits Comments on Proposed Amendments to the Corporate Financing Rule (Underwriting Terms and Arrangements)

USA - May 4 2017 FINRA is soliciting comments on proposed amendments to FINRA Rule 5110 the Corporate Financing Rule which prohibits FINRA members from participating...

Robert W. Downes, Joseph A. Hearn, Scott D. Miller, Richard A. Pollack, William G. Farrar, Donald R. Crawshaw, John E. Estes, Catherine M. Clarkin, David B. Harms.


SEC Adopts T2 Settlement Cycle: SEC Amends Rule 15c6-1, Requiring Settlement of Securities Transactions in Two Business Days Following Trade Date

USA - March 28 2017 The SEC has adopted an amendment to Exchange Act Rule 15c6-1(a) to shorten the standard settlement cycle for most securities transactions effected by...

Robert W. Downes, William D. Torchiana, Robert W. Reeder III, Scott D. Miller, Richard A. Pollack, Donald R. Crawshaw, John E. Estes, Catherine M. Clarkin, David B. Harms.


Securities Litigation: U.S. Supreme Court Grants Certiorari to Decide Issue That Might Have Significant Impact on Registrants' Exposure for Non-Disclosure of "Known Trends or Uncertainties" in SEC Filings

USA - March 27 2017 Earlier today, the U.S. Supreme Court granted certiorari in Leidos, Inc. v. Indiana Public Retirement System, No. 16-581. This appeal, which likely...

Richard C. Pepperman II, Justin J. DeCamp, Suhana S. Han, David H. Braff, Darrell S. Cafasso, Daryl A. Libow, Robert J. Giuffra, Jr., Catherine M. Clarkin, Matthew A. Schwartz.