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Brian D. Hirshberg

Mayer Brown

Articles

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FINRA Proposes Changes to its Fund Communication Rules

USA - June 24 2019 On June 20, 2019, the Financial Industry Regulatory Authority, Inc. (“FINRA”) proposed amendments to FINRA Rule 2210 (Communications with the Public)...

SEC Seeks Public Comment to Improve Exempt Offering Process

USA - June 18 2019 On June 18, 2019, the Securities and Exchange Commission (the “SEC”) issued a Concept Release requesting public comment on ways to simplify...

Survey of Recent SEC Comment Letters to Mortgage REITs

USA - May 13 2019 In recent years, the Staff of the Securities and Exchange Commission (the “SEC”) has been providing comments regarding companies’ presentations of...

SEC Approves NYSE Amendments to Price Requirements

USA - April 2 2019 On March 20, 2019, the Securities and Exchange Commission (“SEC”) approved a New York Stock Exchange (“NYSE”) rule modifying the price requirements...

Legal Update: Proposed Securities Offering and Communications Reforms for BDCs and Closed-End Funds

USA - March 28 2019 Late last week, the Securities and Exchange Commission (SEC) proposed rule amendments that are intended to modernize the offering related provisions...

J. Paul Forrester, Anna T. Pinedo, Adam D. Kanter.