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McDermott Will & Emery

Capital Markets & Public Companies Quarterly: Changes to SEC Review of Shareholder Proposals, Expansion of Testing-the-Waters,...

McDermott Will & Emery on

In the third quarter of 2019, the SEC Staff announced major changes to the standard no-action request review and response process relating to shareholder proposals. In addition, the SEC expanded the availability of...more

Skadden, Arps, Slate, Meagher & Flom LLP

Investment Management Update - June 2019

Skadden, Arps, Slate, Meagher & Flom LLP on

In the inaugural issue of Investment Management Update, we summarize regulatory, litigation and industry developments from February 2019 to May 2019 impacting the investment management sector....more

Blank Rome LLP

Regulatory Update and Recent SEC Actions - April 2019

Blank Rome LLP on

REGULATORY UPDATES - Financial Industry Regulatory Authority (“FINRA”) Releases Its 2019 Priorities - On January 22, 2019, FINRA released its Annual Risk Monitoring and Examination Priorities Letter, which highlighted the...more

McDermott Will & Emery

Come on In, the Water’s Fine: SEC Proposes Expanding “Test-the-Waters” Communications to All Issuers

McDermott Will & Emery on

On February 19, 2019, the SEC proposed a new rule, Rule 163B, that would allow all issuers to engage in “test-the-waters” communications prior to the effectiveness of a registration statement for a public offering. The...more

McDermott Will & Emery

SEC Adopts Amendments that Simplify and Update Disclosure Requirements

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Last month, the SEC adopted amendments intended to facilitate the disclosure of information to investors, simplify compliance without significantly altering the total mix of information provided to investors, improve...more

Stinson - Corporate & Securities Law Blog

House Passes JOBS and Investor Confidence Act of 2018

Stinson - Corporate & Securities Law Blog on

The United States House of Representatives passed the bipartisan JOBS and Investor Confidence Act of 2018, which is often referred to as JOBS Act 3.0. ...more

Mayer Brown Free Writings + Perspectives

Social Media Compliance Guide For Issuers, Broker-Dealers, And Advisers

Mayer Brown Free Writings + Perspectives on

[author: Trevor Starer] The use of social media raises many securities law and compliance challenges for issuers, broker-dealers, and investment advisers. This Compliance Guide summarizes briefly some key principles. ...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - Volume XII, Issue 33

Katten Muchin Rosenman LLP on

SEC/CORPORATE - SEC Division of Corporation Finance Issues New and Updated C&DIs on Omission of Financial Information from Draft Registration Statements - Since the adoption of the Fixing America’s Surface...more

Stinson - Corporate & Securities Law Blog

SEC Proposes to Ease Intrastate Offering Exemption to Facilitate Crowdfunding

Stinson - Corporate & Securities Law Blog on

The SEC has proposed amendments to Rule 147 under the Securities Act of 1933, which currently provides a safe harbor for compliance with the Section 3(a)(11) exemption from registration for intrastate securities offerings....more

Adler Pollock & Sheehan P.C.

Glossary of Important Securities Regulation Terms and Definitions

Adler Pollock & Sheehan P.C. on

This Glossary is designed to provide law students taking Securities Regulation with a tool that will assist them in learning the basic language of securities law and achieve a working knowledge of the fundamental principles...more

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