In a win for banks and private credit lenders, the U.S. Court of Appeals, Second Circuit recently ruled a $1.8 billion leveraged loan was not a security.
The United States syndicated loan market had been anxiously...more
9/28/2023
/ Amicus Briefs ,
Appeals ,
Banks ,
Chapter 11 ,
Department of Justice (DOJ) ,
False Claims Act (FCA) ,
Hedge Funds ,
Institutional Investors ,
Lenders ,
Leveraged Loans ,
Mutual Funds ,
Reves v Ernst & Young ,
SCOTUS ,
Securities ,
Securities and Exchange Commission (SEC) ,
Syndicated Loans ,
U.S. Treasury
Reporting companies that seek to raise capital will soon be able to rely on the Regulation A offering exemption, as a result of amendments recently adopted by the Securities and Exchange Commission (SEC). The expansion of...more
The Securities and Exchange Commission (SEC) has adopted new rules that will require public companies to disclose their hedging practices and policies for employees, officers and directors in proxy and information statements...more
1/11/2019
/ Board of Directors ,
Compliance ,
Corporate Officers ,
Disclosure Requirements ,
Dodd-Frank ,
Executive Compensation ,
Hedging ,
Policies and Procedures ,
Proxy Statements ,
Publicly-Traded Companies ,
Regulation S-K ,
Securities and Exchange Commission (SEC)
The Congressionally-mandated amendment aims to ease the disclosure burdens of private companies that grant compensatory stock to employees.
Grants of securities to employees, including stock options, restricted stock and...more
7/26/2018
/ Amended Rules ,
Disclosure Requirements ,
Economic Growth Regulatory Relief and Consumer Protection Act ,
Employee Retirement Income Security Act (ERISA) ,
Employee Stock Purchase Rights ,
Equity Compensation ,
Executive Compensation ,
Foreign Private Issuers ,
Privately Held Corporations ,
Public Comment ,
Qualified Restricted Stock Units (RSUs) ,
Restricted Stocks ,
Rule 701 ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
State Securities Regulators ,
Stock Options ,
Threshold Requirements
The Securities and Exchange Commission (SEC) recently approved amendments to the definition of “smaller reporting company” (SRC), which will allow more businesses to take advantage of scaled disclosure requirements in their...more
7/25/2018
/ Accelerated Filers ,
Amended Rules ,
Deregulation ,
Disclosure Requirements ,
Executive Compensation ,
Financial Statements ,
Initial Public Offering (IPO) ,
Publicly-Traded Companies ,
Regulation S-K ,
Regulatory Burden ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Smaller Reporting Companies ,
Stock Float ,
Threshold Requirements