We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results:1-10 of 460

The SEC Announces Significantly Increased Fee Rates for 2019
  • Kilpatrick Townsend & Stockton LLP
  • USA
  • March 14 2019

On March 12, 2019, the Securities and Exchange Commission (SEC) announced that, on April 16, 2019, SEC fee rates applicable to most securities


Commissioner Peirce Remarks to CII
  • Mayer Brown
  • USA
  • March 11 2019

Earlier this week, Commissioner Peirce addressed a number of topics with the Council of Institutional Investors. Commissioner Peirce noted that the


With the SEC, Cooperation is Key
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • March 8 2019

As an expensive “slap on the wrist,” the Securities and Exchange Commission (“SEC” or the “Commission”) recently concluded that approximately $12.7


SEC Proposes To Expand “Test-the-Waters” Reforms to All Issuers
  • Katten Muchin Rosenman LLP
  • USA
  • March 1 2019

On February 19, the Securities and Exchange Commission proposed Rule 163B under the Securities Act of 1933, which would permit any issuer, and any


Public Companies Practice Alert - Expanded Scope of Testing the Water Communications
  • Stradling Yocca Carlson & Rauth
  • USA
  • February 28 2019

By means of background, the "testing the waters" rule is codified in Section 5(d) of the Securities Act, and was first introduced in 2012 through the


SEC Proposes to Expand “Test-the-Waters” Reform to All Issuers
  • AUM Law
  • USA, Canada
  • February 28 2019

In 2012, the U.S. Securities Act of 1933 (Securities Act) was amended to permit emerging growth companies (EGCs) and people acting on their behalf to


Top Takeaways in the World of Securities Regulation
  • Kilpatrick Townsend & Stockton LLP
  • USA
  • February 28 2019

The SEC’s recent crackdown on the use of Non-GAAP financial measures (such as EBITDA and ‘adjusted’ earnings) appears to have significantly improved


SEC Proposes to Expand “Test-the-Waters” to All Issuers
  • Bass, Berry & Sims PLC
  • USA
  • February 22 2019

This week the SEC proposed to expand the “test-the-waters” accommodationcurrently available to emerging growth companies (EGCs)to all issuers


"Test-the-Waters" Accommodations Could Be Coming to a Company Near You
  • Jones Day
  • USA
  • February 22 2019

A proposed rule change would provide increased flexibility to issuers seeking to communicate with institutional investors earlier in the offering


SEC Proposes to Expand “Test-the-Waters” Modernization Reform to All Issuers
  • Mayer Brown
  • USA
  • February 19 2019

The Securities and Exchange Commission took the long-awaited step of proposing rules for comment that would extend the ability to test the waters