What Does The SEC Approved NASDAQ Diversity Proposal Mean For Boards?
Financing Challenges for Small Cap Companies
As we head into year-end, annual reporting season for FPIs is just around the corner. FPIs are required to file an annual report on Form 20-F with the SEC within four months after the end of their fiscal year (or until April...more
In the August edition of our Public Company Watch, we cover key issues impacting public companies, including the SEC’s enhanced disclosure requirements regarding cybersecurity risk management, strategy, governance and...more
During the fourth quarter of 2022, the Securities and Exchange Commission continued its brisk pace of rulemaking across several disclosure initiatives. The Commission reopened the comment period for its share repurchase...more
The SEC adopted final Rule 10b5-1 changes, here. The rule changes follow piles of published research suggesting that 10b5-1 plan trades are more advantageous for insiders than they should be, statistically speaking. As a...more
Hardly the start to mid-June that we wanted, with markets around the world taking a beating on Monday. The Nasdaq was down more than 4.5%, the Dow nearly 2.8%, and the S&P 500 dipped into official bear market territory. Last...more
Abbott Laboratories, the maker of Similac baby formula and the company at the heart of America’s current formula shortage, has reportedly “reached an agreement with U.S. health officials to restart production at its largest...more
Cryptocurrency Regulation and Enforcement at the US Federal and State Levels - The intensifying focus in recent months on cryptocurrency regulation and enforcement at both the federal and state levels demonstrates digital...more
An already challenging week for cryptos just got much worse, now that China’s central bank has declared “all cryptocurrency-related transactions . . . illegal, reinforcing the country’s tough stance against digital rivals to...more
SEC Settles First-Of-Its-Kind $13m DeFi Tech Action; NASDAQ Board Diversity Rules Challenged in Fifth Circuit; Delaware Court of Chancery Declines to Enforce Contractual Limitations on Liability to Bar Contractual Fraud...more
The Nasdaq has set Coinbase’s reference price at $250/share ahead of today’s first day of trading for the crypto exchange that’s making its public debut via direct listing ...more
Google cut costs by rescinding offers to more than 2,000 contract workers due to the strains of the pandemic....more
During the previous quarter, the SEC proposed new rulemaking to reduce the number of smaller companies that become subject to enhanced reporting requirements through “accelerated filer” and “large accelerated filer” status....more
On Sept. 28, 2018, California Gov. Jerry Brown signed into law Senate Bill (“SB”) 838 and Assembly Bill (“AB”) 2658, which together will spur more innovation in and adoption of blockchain and cryptocurrency technologies. More...more
In this newsletter, we provide a snapshot of the principal Asian, US, European and selected international governance and securities law developments of interest to Asian corporates and financial institutions. ...more
Facebook isn’t the only tech stock having a good week. Amazon—helped along by its booming cloud business—more than doubled its net income in Q1 as compared to a year ago....more
BROKER-DEALER - Nasdaq Has Proposed a New Rule Change To Modify Its System of Volume-Based Credits - The Nasdaq Stock Market LLC (Nasdaq) has filed with the Securities and Exchange Commission a proposed rule change to...more
This newsletter provides a snapshot of the principal U.S. and selected international governance and securities law developments during the fourth quarter of 2017 that may be of interest to Latin American corporations and...more
Bitcoin surged to over $11,000 yesterday before falling 20% later in the day, prompting this look from the Journal at the widespread lure of Bitcoin mania....more
Social Reality, Inc. (NASDAQ:SRAX) discussed its plans for an initial coin offering with analysts on October 17, 2017. Its stock closed up 70% on the news....more