Mayer Brown | USA | 5 Feb 2024
The New York Stock Exchange (“NYSE”), through the NYSE Regulation staff, has issued its annual Listed Company Compliance Guidance Memo for 2024…
Deal
Arendt & Medernach | Luxembourg, USA | 23 Oct 2023
Arendt has advised the principal shareholder of Birkenstock Holding plc (NYSE: BIRK), funds advised by L Catterton, on the Initial Public Offering…
Fried Frank Harris Shriver & Jacobson LLP | USA | 28 Sep 2023
A broker-dealer settled charges with FINRA and NYSE Arca (see here and here) for over-tendering shares into partial tender offers. In separate…
Video
Vinson & Elkins LLP | USA | 20 Sep 2023
IPO Edge hosted a fireside chat from the floor of the New York Stock Exchange with Zach Swartz, partner at Vinson & Elkins. Mr. Swartz spoke to IPO…
Fried Frank Harris Shriver & Jacobson LLP | USA | 29 Aug 2023
A broker-dealer and its chief compliance officer settled charges with NYSE American LLC for improperly booking trades and for allowing an employee to…
K&L Gates LLP | USA | 29 Aug 2023
On 29 August 2023, the United States Court of Appeals for the District of Columbia Circuit (Court) issued a decision siding with Grayscale…
Hunton Andrews Kurth LLP | USA | 8 Aug 2023
Converts—a debt instrument that is convertible (or exchangeable) into shares of the Issuer or another entity—have come to the fore in the utility…
Fried Frank Harris Shriver & Jacobson LLP | USA | 29 Jun 2023
On June 9, 2023, the Securities and Exchange Commission (“SEC”) took action to cause the proposed listing standards (“Approved Listing Standards”)…
Mintz | USA | 23 Jun 2023
On June 9, 2023, the Securities and Exchange Commission (SEC) approved the executive compensation recovery “clawback” listing standards proposed by…
Lexology PRO | European Union, United Kingdom | 15 Jun 2023
The EU releases a sustainable finance package, the UK expands insider trading rules, and the EBA reveals final resolvability testing guidelines – plus other key updates.