Articles: 1-10 of 146
Financial Crimes Makes Debut in FINRA Annual Priorities Preview
USA - January 18 2023 FINRA punctuated its annual post-New Year’s Report on FINRA’s Examination and Risk Monitoring Program (the “Report”), by including a new target…
SEC Adopts Amendments Regarding Insider Trading Plans and Related Disclosures
USA - January 10 2023 On December 14, 2022, the Securities and Exchange Commission (the “SEC”) adopted amendments to modernize Rule 10b5-1 under the Securities Exchange…
New Law Substantially Increases HSR Filing Fees for Large Transactions
USA - January 5 2023 On Dec. 29, 2022, President Biden signed into law H.R. 2617, the “Consolidated Appropriations Act, 2023.” Included within H.R. 2617 is The Merger…
SEC Updates Non-GAAP Financial Measures Guidance
USA - January 4 2023 On December 13, 2022, the Staff of the Division of Corporation Finance of the U.S. Securities and Exchange Commission updated its Non-GAAP Financial…
Ninth Circuit Holds that Social Media Posts May Give Rise to “Seller” Liability Under Section 12(a)(2) of the Securities Act of 1933
USA - January 3 2023 In Pino v. Cardone Capital, LLC, 2022 U.S. App. LEXIS 35278 (9th Cir. Dec. 21, 2022), the United States Court of Appeals for the Ninth Circuit (Lynn…
Nasdaq, FINRA and NYSE Issue Warnings of Small-Cap IPO Fraud
USA - November 18 2022 Yesterday, each of Nasdaq, FINRA and NYSE released Regulatory Alerts highlighting concerns surrounding fraudulent activities in Small-Cap IPOs. Each…
FTC Policy Statement on the Scope of Unfair Methods of Competition - A Broad But Vague Warning
USA - November 14 2022 On November 10, 2022, the Federal Trade Commission issued its “Policy Statement Regarding the Scope of Unfair Methods of Competition Under Section 5…
SEC Shifts Focus on Employees’ Off-Channel Business Communications to Investment Advisers
USA - November 11 2022 Over the last year, the U.S. Securities and Exchange Commission (“SEC”) has been laser-focused on the use of personal devices by employees of the…
SEC Adopts New Executive Compensation Clawback and Disclosure Rule
USA - October 26 2022 The U.S. Securities and Exchange Commission (“SEC”) voted on Wednesday to adopt a new rule requiring companies listed on a national securities…
Mergers & Acquisitions Insights: Perspectives from the Boardroom and C-Suite
USA - September 30 2022 Kandace Watson, Corporate M&A Partner, Sheppard Mullin, and Michael-Bryant Hicks, a seasoned EVP, General Counsel & Corporate Secretary recently…
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