News & Analysis as of

Confidential Information › Securities Act of 1933

Fenwick & West LLP

SEC Expands Confidential Filing Options

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The Securities and Exchange Commission has expanded the confidential filing options, including...more

Dorsey & Whitney LLP

SEC Updates Guidance on Expiring Confidential Treatment Orders

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On September 9, the SEC’s Division of Corporation Finance updated its guidance to outline three alternatives for handling an expiring confidential treatment order (“CTO”)...more

Dorsey & Whitney LLP

SEC Creates New File Transfer System for Supplemental Materials and Rule 83 Confidential Treatment Requests

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The SEC announced last week that in light of COVID-19 concerns, the Division of Corporation Finance is providing a temporary secure file transfer process for the submission of (i) supplemental materials that are requested by...more

Bass, Berry & Sims PLC

The Rumors of the Death of Gun Jumping Have Been Greatly Exaggerated

Bass, Berry & Sims PLC on

Generally speaking, the federal securities laws were drafted with the purpose of limiting the kind and amount of pre-offering publicity permitted in registered public offerings. Pursuant to Section 5(c) of the Securities Act...more

K&L Gates LLP

SEC Staff Expands Confidential Review Procedures for Registration Statements under the Securities Act and Exchange Act

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On June 29, 2017, the Division of Corporation Finance of the Securities and Exchange Commission (the “SEC Staff”) issued an announcement (the “Announcement”) expanding its confidential review process in several areas,...more

Akin Gump Strauss Hauer & Feld LLP

SEC Confidential Submission Procedures Expanded Beyond Emerging Growth Company Issuers Beginning July 10, 2017

Akin Gump Strauss Hauer & Feld LLP on

Last week, the Staff of the Securities and Exchange Commission (SEC) announced that, beginning on July 10, 2017, the SEC will accept voluntary draft registration submissions from all issuers for nonpublic review. This...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC to Permit All Issuers to Submit Confidential Draft Registration Statements

Skadden, Arps, Slate, Meagher & Flom LLP on

The U.S. Securities and Exchange Commission (SEC) announced on June 29, 2017, that the staff (staff) of the Division of Corporation Finance will accept draft registration statement submissions from all companies for nonpublic...more

Bass, Berry & Sims PLC

Bass, Berry & Sims Releases Securities & Shareholder Litigation 2017: A Look Ahead

Bass, Berry & Sims PLC on

Bass, Berry & Sims PLC announces the release of its annual "Securities & Shareholder Litigation 2017: A Look Ahead," a high-level report that covers recent developments and offers best practices for the year ahead. The newly...more

Dorsey & Whitney LLP

SEC Charges Another Dark Pool

Dorsey & Whitney LLP on

Dark pools are one of the issues which have been debated at least since Michael Lewis published Flash Boys and Scott Patterson put out Dark Pools. To date the SEC has brought two actions involving the trading venues. One was...more

Winstead PC

JOBS Act: Confidential Submissions

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The Jumpstart Our Business Startups Act (the “JOBS Act”) was signed into law to facilitate capital raising by reducing certain initial public offering (“IPO”) and reporting requirements for Emerging Growth Companies. An...more

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