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Capital Markets › Filing Requirements › Regulation S-K

Carlton Fields

SEC Continues Renewal Project for Registered Capital Raises - Expanding Use of Draft Filings May Counter Abandonment of Public...

Carlton Fields on

More than a decade has passed since the enactment of the Jumpstart Our Business Startups (JOBS) Act, which encouraged small-company capital formation through a reduction in costly regulatory burdens on SEC registrants. In...more

Cooley LLP

Final Changes: The Upsizing or Downsizing Handbook

Cooley LLP on

Pricing day is a huge milestone in the initial public offering (IPO) journey. It is the culmination of months of preparation and drafting and being out on the road talking to investors. Before you hit the road, you’ll have...more

Cadwalader, Wickersham & Taft LLP

SEC Issues Updated Guidance for Nonpublic Review of Draft Registration Statements

Cadwalader, Wickersham & Taft LLP on

On March 3, 2025, the staff of the SEC’s Division of Corporation Finance announced that it is expanding the accommodations available for issuers that submit draft registration statements for nonpublic review....more

Akin Gump Strauss Hauer & Feld LLP

SEC Staff Issues Guidance on Effectiveness of Form S-3 After Filing Form 10-K but Prior to Filing Part III Information

Akin Gump Strauss Hauer & Feld LLP on

On March 20, 2025, the U.S. Securities and Exchange Commission (SEC) staff issued a set of Compliance & Disclosure Interpretations (C&DIs). In particular, SEC staff revised or withdrew several C&DIs to allow all Form S-3s,...more

Alston & Bird

SEC Announces More Options for Issuers Submitting Draft Registration Statements

Alston & Bird on

Our Investment Funds Team reviews the Securities and Exchange Commission’s enhanced options for companies filing draft registration statements for nonpublic review....more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Expands Accommodations for Issuers Submitting Draft Registration Statements

Skadden, Arps, Slate, Meagher & Flom LLP on

On March 3, 2025, the Securities and Exchange Commission’s (SEC’s) Division of Corporation Finance announced that it has expanded the accommodations available to companies for the nonpublic review of draft registration...more

Baker Botts L.L.P.

SEC Expands Eligibility For Confidential Draft Registration Statement Submissions

Baker Botts L.L.P. on

On March 3, 2025, the staff of the Division of Corporation Finance (the “Staff”) of the U.S. Securities and Exchange Commission (the “SEC”) announced significant enhancements to the ability of issuers to submit draft...more

Mayer Brown Free Writings + Perspectives

Additional SEC Staff Accommodations for Confidential Submissions of Registration Statements

Mayer Brown Free Writings + Perspectives on

Yesterday, the Staff of the Division of Corporation Finance of the Securities and Exchange Commission announced a new policy permitting confidential submission of registration statements in additional circumstances in order...more

McDermott Will & Emery

Capital Markets & Public Companies Quarterly: Potential Shift in SEC’s Proxy Access No-Action Policy and Other New Guidance from...

McDermott Will & Emery on

The third quarter of 2016 saw the US Securities and Exchange Commission (SEC) carry forward its momentum from an active second quarter. Recent developments include new SEC Compliance & Disclosure Interpretations (C&DI) and...more

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