Lawrence Levin

Katten Muchin Rosenman LLP

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Capital Markets Compass | Issue 5

In the February edition of the Katten Compass, we discuss the SEC’s recent amendments to Rule 10b5-1, which added new conditions to the availability of certain defenses to insider trading liability, as well as imposed new...more

2/16/2023 / Capital Markets , Disclosure Requirements , Rule 10(b) , Rule 10b-5 , Securities and Exchange Commission (SEC) , Special Purpose Acquisition Companies (SPACs)

Capital Markets Compass | Issue 3

SEC’s Climate-Related Comment Letters – Avoiding Potential Pitfalls - In September 2021, the Securities and Exchange Commission (SEC) provided a sample comment letter that included nine potential climate-related comments...more

5/4/2022 / Capital Markets , Capital Raising , Environmental Social & Governance (ESG) , Initial Public Offering (IPO) , Investment , Securities and Exchange Commission (SEC) , Securities Regulation , Special Purpose Acquisition Companies (SPACs)

Capital Markets Compass | Issue 2

Capital Markets Compass covers the latest developments in the capital markets, public company, and corporate governance worlds. ...more

12/22/2021 / 10b5-1 Plans , Capital Markets , Clawbacks , Executive Compensation , Proxy Season , Publicly-Traded Companies , Securities and Exchange Commission (SEC) , Special Purpose Acquisition Companies (SPACs)

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