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1,174 results found

Article

Mayer Brown | USA | 13 Jul 2018

Guidance on Direct Listings: NYSE Memo and FINRA Notice 18-11

On February 2018, the Securities and Exchange Commission (“SEC”) approved the New York Stock Exchange’s (the “NYSE”) proposal to permit qualifying

Article

Sheppard Mullin Richter & Hampton LLP | USA | 19 Jun 2018

New Law Requires SEC to Expand Regulation A To Exchange Act Reporting Companies

On May 24, 2018, President Donald J. Trump signed into law the Economic Growth, Regulatory Relief, and Consumer Protection Act (the “Act”). The Act

Article

Morrison & Foerster LLP | USA | 26 Apr 2018

REIT IPOs - A Quick Guide

Real estate investment trusts ("REITs") are endlessly inventive. They were first developed in the 1960s as a means for ordinary retail investors to

Article

Mayer Brown | USA | 26 Apr 2018

Nasdaq Proposes Trading Option for Smaller Public Companies

Nasdaq Inc. plans to propose a rule to the Securities and Exchange Commission (SEC) that, if adopted, would allow stock exchanges (such as Nasdaq Inc

Article

Katten Muchin Rosenman LLP | USA | 13 Apr 2018

Nasdaq Has Proposed a New Rule Change To Modify Its System of Volume-Based Credits

The Nasdaq Stock Market LLC (Nasdaq) has filed with the Securities and Exchange Commission a proposed rule change to modify the current system of

Article

McCarthy Tétrault LLP | USA, Canada | 8 Nov 2017

Lessons from an Historic Mining IPO

The recently completed initial public offering by Nexa Resources S.A. (formerly, Votorantim Metais) on the Toronto Stock Exchange (the TSX) and the

Article

Katten Muchin Rosenman LLP | USA | 13 Oct 2017

SEC Approves FINRA Registration, Qualification and Continuing Education Rules

The Securities and Exchange Commission has approved the Financial Industry Regulatory Authority rules that (1) consolidate the National Association

Article

Stinson LLP | USA | 30 Aug 2017

NYSE Proposes to Amend Material News Policy Again

In 2015 the NYSE amended its policy with respect to material news releases. One of the amendments was to include advisory text in Section 202.06 of

Article

Katten Muchin Rosenman LLP | USA | 14 Jul 2017

SEC’s Recent Order Approving FINRA Rule Change Relating To Qualification and Registration Requirements

On July 7, the Securities and Exchange Commission issued an order adopting the Financial Industry Regulatory Authority’s proposed rule amending the

Article

Katten Muchin Rosenman LLP | USA | 5 May 2017

NYSE Issues Proposed Rule to Allow Listing Without an IPO

On March 13, the New York Stock Exchange (NYSE) issued a proposed rule to amend the provisions related to the qualification of companies listing

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