Kristopher Brown

Kristopher Brown

Dechert LLP

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Nasdaq Proposed Shareholder Approval Rules Update

Highlights - - Under NASDAQ rules, shareholder approval is required for the issuance of shares in connection with certain transactions. - NASDAQ announced that it is seeking public input on liberalizing the...more

12/8/2015 - Change of Control Nasdaq Private Placements Public Comment Publicly-Traded Companies Shareholder Approval Stock Issuance

A New Securities Offering Exemption That May Help The Markets Get Back Into The Fast Lane

Highlights - - New law adding an exemption to the registration and prospectus delivery requirements of the Securities Act of 1933 signed by President Obama. - The law, which codifies the so-called Section 4(a)(1-½)...more

12/7/2015 - Fixing America’s Surface Transportation Act (FAST Act) New Legislation Private Placements Regulation D Rule 144A Securities Securities Act of 1933 Small Offering Exemptions

Summary and Discussion of Chair White's Speech Regarding SEC Regulation

Highlights: - The SEC plans to develop a proactive and agile regulatory framework through which it can anticipate issues and address them proactively, even as the capital markets continue to undergo rapid change. -...more

11/10/2015 - JOBS Act Mary Jo White Regulation D Regulation S-X Rule 506 Offerings SEC

SEC Report Embraces Communications through Social Media

The Securities and Exchange Commission (SEC) issued a report on April 2, 2013 concerning its investigation into the use of social media by public companies in the United States (Report). The Report confirms that a public...more

4/11/2013

FINRA Releases Public Offering FAQs

FINRA, the largest independent regulator for all securities firms doing business in the United States, has released a set of FAQs relating to its review of public securities offerings filed on its Public Offering Filing...more

2/15/2013 - Conflicts of Interest Disclosure Requirements DPPs Exemptions Filing Fees FINRA IPO Lock-Up Requirements Public Offerings REIT Right of FIrst Refusal SEC Underwriting

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