Disclosure Requirements, Securities Regulation, Due Diligence

Conflict Minerals Disclosures Due June 2, 2025

Skadden, Arps, Slate, Meagher & Flom LLP on 5/7/2025

Conflict minerals disclosures on Forms SD are required to be filed with the Securities and Exchange Commission (SEC) no later than June 2, 2025.1 The conflict minerals disclosure rules and related guidance have remained at a...more

Top Tips for Doing Capital Markets Deals in Germany (Updated)

Hogan Lovells on 4/30/2025

This practical note was originally published by Practical Law Capital Markets. A practice note setting out top tips from German counsel for doing capital markets deals in Germany. It highlights issues of which lawyers from...more

SEC Offers Updated Guidance for Rule 506(c) Private Placements

Flaster Greenberg PC on 3/27/2025

On March 12, 2025, the SEC published a No-Action Letter clarifying accredited investor verification requirements under Rule 506(c)....more

Real Estate Syndications: Legal Considerations for Syndicators (and Investors)

Woods Rogers on 9/11/2023

Real estate syndication involves pooling funds from multiple investors to finance a real estate project. While syndication can be a profitable investment strategy, it also comes with various legal considerations and potential...more

SEC Charges SPAC and Sponsor for Alleged Misrepresentations in Preliminary Proxy Filing Arising From Due Diligence Failures

Herbert Smith Freehills Kramer on 7/27/2021

On July 13, 2021, the Securities and Exchange Commission announced partially settled charges against the Special Purpose Acquisition Company Stable Road Acquisition Co. (SRA), SRA’s sponsor and CEO, SRA’s target Momentus Inc....more

Business Development Company Guide for Capital Markets

Mayer Brown Free Writings + Perspectives on 9/11/2019

This guide covers all related information that a securities practitioner needs when working with a Business Development Company (BDC). It provides an overview of the industry and covers applicable securities laws and...more