This practice note provides 10 practice tips that can help you as counsel to an issuer seeking to engage in a liability management transaction. Given recent market volatility, issuers in a wide range of industry sectors may...more
On March 4, 2020, the Securities and Exchange Commission (“SEC”) proposed amendments to the current framework of registration exemptions and safe harbors. ...more
3/6/2020
/ Capital Formation ,
Comment Period ,
Crowdfunding ,
Deregulation ,
Exemptions ,
Financial Regulatory Reform ,
Investment Opportunities ,
Investor Protection ,
Market Participants ,
Offerings ,
Proposed Rules ,
Registration Requirement ,
Regulation A ,
Rulemaking Process ,
Safe Harbors ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
On July 15, 2019, the staffs of the Securities and Exchange Commission (“SEC”) and the North American Securities Administrators Association issued a joint summary explaining the application of the federal and state securities...more
On June 18, 2019, the Securities and Exchange Commission (the “SEC”) issued a concept release requesting public comment on ways to simplify, harmonize and improve the exempt offering process to expand investment opportunities...more
6/19/2019
/ Capital Formation ,
Financial Regulatory Reform ,
Investment Funds ,
Investment Opportunities ,
Investor Protection ,
Offerings ,
Public Comment ,
Regulatory Agenda ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Transactions