On June 4, 2025, the Securities and Exchange Commission (SEC) issued a concept release, soliciting public comment on the definition of "foreign private issuer."...more
On March 12, 2025, the staff of the Division of Corporate Finance (the staff) of the US Securities and Exchange Commission (the SEC) concurrently issued a no-action letter and interpretive guidance via new Compliance and...more
On March 3, 2025, the staff of the Securities and Exchange Commission's (SEC) Division of Corporation Finance (the Division) announced that it enhanced certain existing accommodations under the Jumpstart Our Business Startups...more
In the May edition of Capital Markets Compass, we examine how innovative offering structures are providing access to capital despite significant market challenges. We analyze recent SEC comment letters focusing on climate and...more
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
This year-end issue of the Compass includes an overview of a recent conference Katten held regarding developments in cryptocurrency in the capital markets space, led by Mark Wood, national co-head of Katten’s Capital Markets...more
12/23/2022
/ Capital Markets ,
Capital Raising ,
Clawbacks ,
Crypto Exchanges ,
Cryptoassets ,
Cryptocurrency ,
Insider Trading ,
Investment ,
Investors ,
Securities and Exchange Commission (SEC) ,
Venture Capital ,
Whistleblowers
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
Recent SEC Comment Letters Recent Securities and Exchange Commission (SEC) comment letters reveal the SEC's close examination of special purpose acquisition companies (SPACs) and their proposed business combinations show no...more
Capital Markets Compass covers the latest developments in the capital markets, public company, and corporate governance worlds.
...more
Stable Road Enforcement Action Post Mortem: Lessons for the SPAC Market After Momentus Begins Trading -
Stable Road And Momentus Close Business Combination. On August 11, Stable Road Acquisition Corp., a special purpose...more
10/14/2021
/ Board of Directors ,
Capital Markets ,
Capital Raising ,
Climate Change ,
Diversity ,
Initial Public Offering (IPO) ,
Investment ,
Listing Rules ,
Nasdaq ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Special Purpose Acquisition Companies (SPACs) ,
Target Company ,
Whistleblower Protection Policies ,
Whistleblowers