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SEC, NASDAQ Provide Additional Guidance and Temporary Exceptions as the Effects of COVID-19 Continue to Impact Public Companies

USA - May 11 2020 On May 4, 2020, the staff of the Division of Corporation Finance (“Corp Fin”) at the Securities and Exchange Commission (the “SEC”) published four…

Colin J. Diamond, Danielle Herrick, Era Anagnosti, Jessica Chen, Johanna Interian, Rupa Briggs, Stuart Bressman.

New SEC C&DIs Clarify Aspects of Omitting Discussion of Third Year of Financials from the MD&A

USA - February 4 2020 On January 24, 2020, the SEC’s Division of Corporation Finance released three new compliance and Disclosure Interpretations (“C&DIs”) related to…

Colin J. Diamond, Danielle Herrick, Dov M. Gottlieb, Era Anagnosti, Irina Yevmenenko, Maia Gez, Michelle B. Rutta.

New investment opportunities in private offerings as SEC proposes to amend Accredited Investor Definition

USA - January 7 2020 On December 18, 2019, the Securities and the Exchange Commission (the “SEC” or the “Commission”) published its proposal to amend the accredited…

Colin J. Diamond, Era Anagnosti, Holt Goddard, Jessica Chen, John Donovan, John R. Vetterli, Rupa Briggs, Stuart Bressman.

SEC: Time to revamp securities offering exemptions

USA - July 23 2019 On June 18, 2019, the Securities and Exchange Commission (the “SEC” or the “Commission”) issued a “Concept Release on Harmonization of Securities…

Colin J. Diamond, Era Anagnosti, John R. Vetterli.

Reminders for Foreign Private Issuers for the 2018 Annual Reporting Season

European Union, United Kingdom, USA - January 24 2018 This memorandum outlines certain considerations for foreign private issuers ("FPIs") in preparation for the 2018 annual reporting season. Part I of…

Colin J. Diamond, Dov M. Gottlieb, Irina Yevmenenko.