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Corporate Financing Compliance

Society of Corporate Compliance and Ethics...

Understanding the “G” in ESG: The critical role of compliance

Octavia Butler, a pioneering American writer, once wrote: “There is nothing new under the sun, but there are new suns.” Can this analogy also be applied to the concept of environmental, social, and governance (ESG)? While...more

Benesch

Benesch DSO Newsletter - Q1 2021

Benesch on

Industry continues to struggle with employee recruitment and retention - DSO thought leaders recently weighed in on how they feel 2021 is progressing for the industry and what they think will be the major issues going...more

Morrison & Foerster LLP

SEC Proposes Changes to Business, Legal Proceeding and Risk Factor Disclosure Requirements

The SEC has proposed amendments to the description of business, legal proceeding and risk factor disclosures that are required pursuant to Regulation S-K. The SEC intends to update the rules to account for developments in...more

Goodwin

SEC Approval of Amendments to FINRA Corporate Financing Rules Will Reduce Burdens on Parties in Public Offerings

Goodwin on

The SEC recently approved amendments to simplify and refine the scope of FINRA corporate financing and underwriter conflicts of interest rules. The amendments include modifications that will affect not only underwriters and...more

Morrison & Foerster LLP

SEC Approves Amendments to FINRA’s Corporate Financing Rule

Broader Availability of Termination Fees and Rights of First Refusal - Elimination of Filing for Certain ETFs: In May 2014, the SEC approved FINRA’s proposed amendments to Rule 5110, commonly called the...more

Katten Muchin Rosenman LLP

SEC Division of Corporation Finance Issues New C&DIs Relating to Social Media Use

On April 21, the Securities and Exchange Commission’s Division of Corporation Finance issued new Compliance and Disclosure Interpretations (C&DIs) regarding the use of social media in the context of securities offerings,...more

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