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Market Update: More From the SEC/others on 10b5-1 Plans

USA - June 14 2021 As noted in our blogpost last week, Gary Gensler, Chair of the U.S. Securities Exchange Commission, has asked the Commission staff to consider…

Kerry E. Berchem, Garrett A. DeVries, Kevin W. Schott.

Buyer/Seller Beware: SEC Continues to Scrutinize Rule 10b5-1 Plans

USA - June 9 2021 Gary Gensler, Chair of the U.S. Securities and Exchange Commission (SEC), has asked the Commission staff to consider updates to Rule 10b5-1 in an…

Kerry E. Berchem, Garrett A. DeVries, Kevin W. Schott.

Liability Risk in De-SPAC Transactions

USA - April 14 2021 On April 8, 2021, John Coates, the Acting Director of the Securities and Exchange Commission’s (SEC) Division of Corporation Finance, released a…

Kerry E. Berchem, Alice Hsu, Anthony J. Renzi Jr., Stephanie Lindemuth, Jacqueline Yecies.

Facts Matter: A Fresh Look at Rights Plans and Fiduciary Duties

USA - March 10 2021 In mid-March 2020, concerned about opportunistic activist stockholders, a precipitous decline in oil prices and corresponding stock volatility, as…

Kerry E. Berchem.

SEC’s Division of Corporation Finance Provides Updated Guidance on Disclosure Considerations Regarding Operations, Liquidity and Capital Resources in Light of COVID-19

USA - July 1 2020 On June 23, 2020, the Division of Corporation Finance (“Division”) of the Securities and Exchange Commission (SEC) provided additional guidance…

Paul V. Monsour, Rosa A. Testani.