Securities Regulation and Corporate Governance

Topic: Capital Markets

Fifth Circut Strikes Down SEC's New Buyback Disclosure Rule

12/20/2023 | Posted by James Moloney; Michael Titera; Ronald Mueller

Topic: Capital Markets; Disclosure; Miscellaneous; Securities Regulation

SEC Stays Effectiveness of New Buyback Disclosure Rule; Fifth Circuit Denies SEC's Request for Additional Time to Correct Rules

11/28/2023 | Posted by Ronald Mueller; James Moloney; Michael Titera

Topic: Capital Markets; Disclosure; Securities Regulation

SEC Exempts Rule 144A Debt Issuances From Rule 15c2-11 Information Requirements

11/2/2023 | Posted by Hillary Holmes; Thomas Kim; Andrew Fabens

Topic: Capital Markets; Financial Statements; Private Placements; Securities Regulation

SEC Desktop Calendar 2024 - Now Available

10/10/2023 | Posted by Hillary Holmes; Lori Zyskowski

Topic: Audit Committee; Capital Markets; Disclosure; IPOs; M&A; Securities Regulation; Underwriters and Agents; Registration Statements

Preparing for a Potential Government Shutdown: Initial Impacts on SEC Operations

9/29/2023 | Posted by Hillary Holmes; James Moloney; Ronald Mueller

Topic: Capital Markets; Disclosure; IPOs; Registered Securities Offerings; Proxy Statements and Annual Meetings; Shareholder Proposals; Securities Regulation; Underwriters and Agents

New Vote Reporting Disclosures Required on Form N-PX – Vote Reports Now Extend to All 13F Filers – No Longer Limited to Registered Funds

7/10/2023 | Posted by James Moloney; Andrew Fabens

Topic: Capital Markets; Corporate Governance; Disclosure; Investment Act/Investment Advisors Act; Securities Regulation

Supreme Court Upholds Tracing Requirement For Section 11 Claims in Direct Listings - Slack Technologies LLC v. Pirani, No. 21-200

6/6/2023 | Posted by Stewart McDowell; Ronald Mueller; Andrew Fabens; Hillary Holmes; Peter Wardle

Topic: Capital Markets

SEC Adopts New Final Rules for Clearance and Settlement; Proposes Changes for Investment Adviser Rules

2/22/2023 | Posted by Hillary Holmes; Peter Wardle

Topic: Capital Markets; Registered Securities Offerings; Securities Regulation; Private Placements

EDGAR Ready to Accept Online Form 144 Filings Ahead of Deadline for Electronic Filing Requirement

10/11/2022 | Posted by Hillary Holmes; James Moloney

Topic: Capital Markets; Securities Regulation

SEC Raises Annual Gross Revenue Amount in the Definition of Emerging Growth Company

9/20/2022 | Posted by Hillary Holmes; James Moloney

Topic: Capital Markets; Securities Regulation

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