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Broker-Dealer Foreign Private Issuers

Latham & Watkins LLP

The Latham FPI Guide: Accessing the US Capital Markets From Outside the United States - 2021 Edition

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Fabry-Pérot Interferometer, SA is a highly successful non-US company known to the world as FPI. FPI is considering doing a debt or equity offering in the United States. What are the key legal issues it, and its underwriters...more

Dorsey & Whitney LLP

The Lights Could Go Out on Over-the-Counter Companies on September 28, 2021

Dorsey & Whitney LLP on

On September 28, 2021, companies trading in the United States over-the-counter securities markets (“OTC Markets”) that do not comply with amended Rule 15c-211 will no longer be eligible for quotation on the OTC Markets,...more

WilmerHale

SEC Amends Rule 15c2-11 to Enhance Publicly Available Information For Securities Quoted in the Over the Counter Markets

WilmerHale on

The Securities and Exchange Commission (SEC) has amended Rule 15c2-11 (the amended Rule), which governs the publication of quotations in the over-the-counter (OTC) markets, i.e., quotes that are published away from a...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on Proposed SEC Changes for Off-Floor Transfer Options and Guidance From...

SEC/CORPORATE - SEC Proposes Modernization of Filing Fee Disclosure and Payment Methods - On October 24, the Securities and Exchange Commission proposed amendments to update filing fee disclosure and payment methods....more

McDermott Will & Emery

Capital Markets & Public Companies Quarterly: New Developments in 2017

McDermott Will & Emery on

The first quarter of 2017 saw quite a few new developments in the Capital Markets & Public Companies regulatory landscape. President Trump’s nominee to be the new Chair of the Securities and Exchange Commission (SEC), Jay...more

Latham & Watkins LLP

Coming to America – A Guide for FPIs

Latham & Watkins LLP on

In this Issue: - The Latham FPI Guide: Accessing the US Capital Markets From Outside the United States - Chapter 1: Background - Chapter 2: Unregistered Global Offerings – Regulation S, Rule 144A and...more

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