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Clarifying the regulatory status of “finders” - the SEC proposes a conditional exemption from broker-dealer registration for finders’ participation in private capital raises

USA - October 16 2020 On October 7, 2020, in a narrow three-to-two decision, the Securities and Exchange Commission (the Commission) proposed an exemption (available at…

Emerson A. Bianchi, Gerard S. DiFiore, John Lukanski, Thao Ngo.

Nasdaq provides temporary relief from shareholder approval requirements for certain securities issuances

USA - May 12 2020 On May 4, 2020, The Nasdaq Stock Market LLC (Nasdaq) issued a temporary exception to its shareholder approval rules for certain securities issuances…

Katherine E. Geddes, Michael S. Lee.

Nasdaq proposes relief from minimum share price and market value of publicly held shares listing requirements

USA - April 17 2020 On April 16, 2020, the Nasdaq Stock Market LLC (Nasdaq) filed with the Securities and Exchange Commission (SEC) a proposal to temporarily toll the…

Aron Izower, Gerard S. DiFiore, Katherine E. Geddes, Michael S. Lee, Tadashi Okamoto, Wendy A. Grasso.

SEC Division of Corporation Finance issues guidance to public companies on the need for COVID-19-related disclosures and SEC extends conditional relief from periodic report filing deadlines

USA - March 31 2020 The SEC’s Division of Corporation Finance issued new guidance to public companies highlighting specific disclosure considerations and other…

Brooke C. Dorris, Gerard S. DiFiore, Katherine E. Geddes.

Public company issues and resources: COVID-19

USA - March 23 2020 As the capital markets react to the uncertainty caused by the COVID-19 pandemic, public companies are facing a host of issues. This guide highlights…

Aron Izower, Elizabeth R. Tabas Carson, Gerard C. Martin, Gerard S. DiFiore, Jared Kelly, Michael S. Lee, Tadashi Okamoto, Wendy A. Grasso.