Kevin Roggow

Cozen O'Connor

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Nasdaq Increases Initial Listing Liquidity Requirements: What It Means for Companies Going Public

On March 12, 2025, the SEC approved a significant rule change to Nasdaq’s initial listing liquidity requirements (the New Liquidity Rules). These changes make it more challenging for companies seeking to list on the Nasdaq...more

3/24/2025 / Capital Markets , Compliance , Initial Public Offering (IPO) , Listing Rules , Nasdaq , Public Offerings , Publicly-Traded Companies , Regulatory Requirements , Securities and Exchange Commission (SEC) , Securities Regulation

SEC Staff Releases Updated Guidance on Private Offerings Involving General Solicitation

On March 12, 2025, the staff of the Securities and Exchange Commission (SEC) issued a series of updates to the Securities Act Rules Compliance and Disclosure Interpretations (C&DIs), primarily affecting exempt offerings under...more

3/18/2025 / Capital Markets , Compliance , Crowdfunding , Disclosure Requirements , Investors , Private Equity , Regulation D , Regulatory Requirements , Securities and Exchange Commission (SEC) , Securities Regulation

SEC Expands Availability of Confidential Review Process to Encourage Flexibility in Capital Formation

On March 3, 2025, the Securities and Exchange Commission (SEC) staff issued guidance that expands the existing accommodations available to companies to submit draft registration statements to the SEC for confidential,...more

3/7/2025 / Capital Formation , Capital Markets , Compliance , Disclosure Requirements , Foreign Private Issuers , Initial Public Offering (IPO) , Publicly-Traded Companies , Registration Requirement , Securities and Exchange Commission (SEC) , Securities Regulation

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