Capital markets in the United States provide an unparalleled source of investment capital, measured in trillions of dollars. U.S. markets and rules allow companies to raise funds on an expedited and economically efficient...more
8/11/2021
/ Beneficial Owner ,
Capital Markets ,
Deferred Compensation ,
Disclosure Requirements ,
Executive Compensation ,
New Regulations ,
Reporting Requirements ,
Sarbanes-Oxley ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Exchange Act of 1934
The rule is an expansion of a popular modernization reform previously only available to emerging growth companies.
All issuers considering a registered securities offering will now be able to engage in “testing-the-waters”...more
10/31/2019
/ Accredited Investors ,
Corporate Issuers ,
Emerging Growth Companies ,
Initial Public Offering (IPO) ,
Institutional Investors ,
JOBS Act ,
New Rules ,
Public Offerings ,
Qualified Institutional Buyers ,
Registration Statement ,
Regulation D ,
Regulation FD ,
Rule 144A ,
Rule 163B ,
Securities Act ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Testing-the-Waters Communications
On February 19, 2019, the Securities and Exchange Commission (SEC) proposed a rule that would generally permit all issuers to “jump the gun”—that is, to make offers to certain institutional investors prior to the filing of a...more
2/26/2019
/ Accredited Investors ,
Comment Period ,
Emerging Growth Companies ,
Gun-Jumping ,
Institutional Investors ,
Merger Controls ,
Mergers ,
Proposed Rules ,
Qualified Institutional Buyers ,
Registration Statement ,
Regulation FD ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Tax Cuts and Jobs Act ,
Testing-the-Waters Communications
Capital markets in the United States provide an unparalleled source of investment capital, measured in trillions of dollars, for companies located outside the United States. For non-U.S. companies (which we refer to in this...more
7/23/2015
/ Banking Sector ,
Beneficial Owner ,
Capital Markets ,
Corporate Governance ,
Disclosure Requirements ,
Financial Institutions ,
Foreign Corporations ,
Foreign Private Issuers ,
Private Offerings ,
Prudential Standards ,
Registration Statement ,
Regulatory Agencies ,
Securities Act of 1933 ,
Securities Exchange Act