David S. Rosenthal

David S. Rosenthal

Dechert LLP

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The SEC Revamps Regulation A with Proposed Regulation A+

Introduction - The Securities & Exchange Commission (the “SEC”) proposed significant revisions to Regulation A on December 18, 2013, as mandated by Congress under Title IV of the Jumpstart Our Business Startups Act of...more

1/6/2014 - JOBS Act Regulation A SEC Securities Act of 1933 Title IV

SEC Approves Exchanges’ Proposed Rules for Compensation Committees and Their Advisers

The U.S. Securities and Exchange Commission (“SEC”) formally approved several new listing rules proposed by NASDAQ and the NYSE on January 11, 2013. The new listing rules are designed to bring the listing standards of each...more

1/29/2013 - Compensation Committee Dodd-Frank Executive Compensation Independence Rules Investment Adviser Listing Standards Nasdaq NYSE SEC

Revised NASDAQ Rules Relating to Public Disclosure by Listed Issuers Following Receipt of Notification of Non-compliance with...

The U.S. Securities and Exchange Commission (“SEC” or the “Commission”) has approved a NASDAQ proposed rule change that revises disclosure requirements following a listed issuer’s receipt of notification from NASDAQ that the...more

12/20/2012 - Compliance Deficiency Notices Disclosure Requirements Listing Deficiencies Nasdaq Public Disclosure Securities

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