Uncategorized SEC Spring 2021 Regulatory Agenda Laura Anthony, Esq.July 30, 2021 The first version of the SEC’s semiannual regulatory agenda and plans for rulemaking under the current administration has been publi... 031900
Uncategorized SEC Rules Requiring Disclosures for Resource Extraction Companies Laura Anthony, Esq.July 9, 2021 As required by the Dodd-Frank Act, in December 2020, the SEC adopted final rules requiring require resource extraction companies to... 033500
Uncategorized SEC Announces It Will Not Enforce Amended Rules Governing Proxy Advisors Laura Anthony, Esq.June 18, 2021 On June 1, 2021, SEC Chair Gary Gensler and the SEC Division of Corporation Finance issued statements making it clear that the SEC w... 039400
Uncategorized SEC Re-Opens Comments On The Use Of Universal Proxy Cards Laura Anthony, Esq.June 4, 2021 On April 16, 2021, the SEC voted to reopen the comment period on the proposed rules for the use of Universal proxy cards in all non-... 032200
Uncategorized SEC Chair Gary Gensler Testifies To Congress Laura Anthony, Esq.May 28, 2021 On May 6, 2021, new SEC Chair Gary Gensler made his debut, giving testimony to the House Financial Services Committee. Although Mr.... 046100
Uncategorized SEC Fall 2020 Regulatory Agenda Laura Anthony, Esq.May 21, 2021 The SEC’s latest version of its semiannual regulatory agenda and plans for rulemaking has been published in the federal register. T... 059600
Uncategorized Section 12(g) Registration Laura Anthony, Esq.April 23, 2021 Unlike a Securities Act of 1933 (“Securities Act”) registration statement, a Securities Exchange Act of 1934 (“Exchange Act”) Sectio... 03.1K00
Uncategorized SPAC Transactions Continue Amid SEC Cautionary Statements Laura Anthony, Esq.April 16, 2021 Since I wrote about the SPAC IPO boom in June 2020 (HERE), the trend has not waned. However, as soon as celebrities like Jay-Z, Sha... 035300
Uncategorized SEC Final Rule Changes For Exempt Offerings – Part 5 Laura Anthony, Esq.March 12, 2021 On November 2, 2020, the SEC adopted final rule changes to harmonize, simplify and improve the exempt offering framework. The new r... 040700
Uncategorized SEC Final Rule Changes For Exempt Offerings – Part 4 Laura Anthony, Esq.February 26, 2021 On November 2, 2020, the SEC adopted final rule changes to harmonize, simplify and improve the exempt offering framework. The new r... 029300