Follow

Free Writings + Perspectives Blog

Articles: 1-10 of 409

Nasdaq Amends its Direct Listing Proposal

USA - February 25 2021 On February 22, 2021, Nasdaq amended the rule changes it initially proposed in September 2020 that would permit an issuer to conduct a concurrent…

Investor Status and Accredited Investor and QIB Resources

USA - February 25 2021 Recently, the US Securities and Exchange Commission (“SEC”) adopted amendments to the definition of accredited investor (“AI”) and amendments to the…

SEC to No Longer Approve Settlement Offers Conditioned on Waiver of Collateral Consequences

USA - February 16 2021 Acting SEC Chair, Allison Herren Lee, announced in a February 11 statement that going forward, the Securities and Exchange Commission (SEC) will…

Disclosure Guidance for Offerings for Issuers with Volatile Securities

USA - February 15 2021 Recently, the Securities and Exchange Commission’s Division of Corporation Finance issued a sample comment letter that provides guidance to issuers…

FINRA Proposes to Amend Rules 5122 and 5123

USA - February 2 2021 FINRA filed with the Securities and Exchange Commission (SEC) proposed amendments to the private placement filer form that members complete in…

Annual Report of the Office of the Advocate for Small Business Capital Formation

USA - January 19 2021 The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation recently delivered its annual report for FY2020…

SEC Small Business Capital Formation Advisory Committee Meeting

USA - January 19 2021 The Securities and Exchange Commission recently announced that its Small Business Capital Formation Advisory Committee will hold a public meeting on…

SEC’s Small Business Advocate to Host Capital Call on February 4th

USA - January 19 2021 The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation issued a press release announcing a call on…

SEC Solicits Comment on NYSE Proposed Changes to Shareholder Approval Rules

USA - January 5 2021 On December 16, 2020, the New York Stock Exchange (“NYSE”) filed a proposed rule change to certain of its shareholder approval requirements, which…

The US National Defense Authorization Act for Fiscal Year 2021: Securities Law Implications

USA - January 4 2021 The William (Mac) Thornberry National Defense Authorization Act for Fiscal Year 2021 (NDAA, or the Act), which was enacted into law on New Year’s Day…