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SEC Expands the Use of Confidential Submissions of Draft Registration Statements
  • Davies Ward Phillips & Vineberg LLP
  • USA, Canada
  • July 20 2017

The staff of the U.S. Securities and Exchange Commission (SEC) recently began accepting from all issuers confidential submissions of draft


SEC Rulemaking Developments 2016
  • Davies Ward Phillips & Vineberg LLP
  • USA
  • February 16 2017

The U.S. Securities and Exchange Commission (SEC) had a busy rulemaking year in 2016. As part of its Disclosure Effectiveness Initiative launched at


Exchanges Adopt Generic Listing Standards for Actively Managed ETFs
  • K&L Gates
  • USA
  • November 18 2016

Earlier this year, the Securities and Exchange Commission (“SEC”) approved new rules Proposed by Bats BZX Exchange, Inc. (“Bats”) and NYSE Arca, Inc


ETN Issuers Affected by Proposed Changes to Nasdaq Listing Rules
  • Morrison & Foerster LLP
  • USA
  • November 17 2016

On September 30, 2016, Nasdaq submitted to the Securities and Exchange Commission a proposal to amend certain continued listing requirements for


Nasdaq Requires Disclosure of Third-Party Payments to Directors
  • Hunton Andrews Kurth LLP
  • USA
  • August 5 2016

Issuers listed on Nasdaq on or after August 1, 2016 must publicly disclose the material terms of all agreements and arrangements involving


SEC Approves NASDAQ “Golden Leash” Rules
  • Seyfarth Shaw LLP
  • USA
  • August 2 2016

Recently, the U.S. Securities and Exchange Commission (the “SEC”) approved NASDAQ’s new Rule 5250(b)(3), which requires NASDAQ-listed companies to


SEC Approves Nasdaq Rule Requiring Public Disclosure of Payments to Directors by Third Parties
  • Morrison & Foerster LLP
  • USA
  • July 26 2016

In March 2016, The NASDAQ Stock Market LLC ("Nasdaq") proposed new rules regarding disclosure of third-party compensation of directors. This


NASDAQ Adopts Rule to Require Disclosure of Third Party Compensation of Directors
  • Fenwick & West LLP
  • USA
  • July 25 2016

Nasdaq has released a new rule, Rule 5250(b)(3), which requires listed companies to disclose the material terms of all agreements and arrangements


SEC Approves NASDAQ’s ‘Golden Leash’ Disclosure Rule
  • Greenberg Traurig LLP
  • USA
  • July 18 2016

On July 1, 2016, the Securities and Exchange Commission (SEC) approved changes to the NASDAQ Listing Rules that will now require every NASDAQ-listed


SEC Approves NASDAQ’s ‘Golden Leash’ Disclosure Rule
  • Katten Muchin Rosenman LLP
  • USA
  • July 8 2016

On July 1, the Securities and Exchange Commission approved the NASDAQ Stock Market LLC's proposed Rule 5250(b)(3) (Rule), which requires listed