SEC/CORPORATE -
SEC Statements Regarding SPACs Address Warrants and Projections -
Following the increase in the number of special purpose acquisition companies (SPACs) and the related business combinations between SPACs...more
SEC/CORPORATE -
NYSE Provides Temporary Relief From Shareholder Approval Requirements Due to COVID-19 -
On May 14, the Securities and Exchange Commission announced the adoption and immediate effectiveness of Section...more
SEC/CORPORATE -
SEC Proposes To Expand “Test-the-Waters” Reforms to All Issuers -
On February 19, the Securities and Exchange Commission proposed Rule 163B under the Securities Act of 1933, which would permit any...more
3/4/2019
/ CFTC ,
Corporate Issuers ,
Emerging Growth Companies ,
EU ,
Financial Conduct Authority (FCA) ,
JOBS Act ,
Litigation Funding ,
MiFIR ,
Proposed Rules ,
Qualified Institutional Buyers ,
Regulation FD ,
Securities and Exchange Commission (SEC) ,
Testing-the-Waters Communications ,
UK ,
UK Brexit
SEC/CORPORATE -
SEC Division of Corporation Finance Issues 35 New C&DIs Regarding Foreign Private Issuers, QIBs and Offshore Offerings -
On December 8, the staff (Staff) of the Securities and Exchange Commission’s...more
12/19/2016
/ Australia ,
Banking Examinations ,
C&DIs ,
Central Counterparties ,
Counterparties ,
EU ,
FDIC ,
Foreign Private Issuers ,
Mexico ,
No-Action Relief ,
Regulation S ,
Transitional Arrangements ,
UK Brexit
SEC Issues New C&DI Relating to Submission of Annual Reports to SEC -
On November 2, the Division of Corporation Finance (Division) of the Securities and Exchange Commission issued a new Compliance and Disclosure...more
11/14/2016
/ C&DIs ,
Canada ,
Chief Compliance Officers ,
Corporate Governance ,
EU ,
Forex ,
MiFID II ,
MiFIR ,
Passporting ,
Pay-for-Performance ,
Proxy Season ,
UK ,
UK Brexit